DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Registered advisor

D••••• S•••••• D••••••

W•••• F•••• A•••••••wirehouseBethesda, Mddual registrantIAPD 1808153

Feed of 09/14/2026

At current firm

1 y

since Nov 20, 2024

In the industry

38 y

since Apr 28, 1988 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since Nov 20, 2024 · Bethesda, Md
M••••• S•••••• wirehouse
Aug 17, 2017 to Nov 29, 2024 · Bethesda, Md
W•••• F•••• A••••••• wirehouse
Jan 23, 2009 to Aug 18, 2017 · Bethesda, Md
O••••••••• A•••• M••••••••• BD affiliated
Apr 15, 2003 to Apr 21, 2008 · New York, Ny
O••••••••• • C•• I••• BD affiliated
Jan 3, 2003 to Sep 2, 2008 · Washington, Dc
C••• W•••• M•••••• C•••• unclassified
Jul 12, 2000 to Jan 3, 2003 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to W•••• F•••• A•••••••
left Nov 29, 2024, registered Nov 20, 2024 (-9 days) · Wirehouse to wirehouse
W•••• F•••• A••••••• to M••••• S••••••
left Aug 18, 2017, registered Aug 17, 2017 (-1 days) · Wirehouse to wirehouse · moved with a team
O••••••••• • C•• I••• to O••••••••• A•••• M•••••••••
left Sep 2, 2008, registered Apr 15, 2003 (-1967 days) · Other
O••••••••• A•••• M••••••••• to W•••• F•••• A•••••••
left Apr 21, 2008, registered Jan 23, 2009 (277 days) · Other
C••• W•••• M•••••• C•••• to O••••••••• • C•• I•••
left Jan 3, 2003, registered Jan 3, 2003 (0 days) · corporate re-registration, not a move

Signals

D••••• S•••••• D•••••• left M••••• S•••••• for W•••• F•••• A••••••• (registered 2024-11-20)
Nov 29, 2024 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Wirehousederived
Years in industry: 38derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address