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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

W•••••• D•••••• S•••••••

R•••••• J•••• • A••••••••• I•••national BDCharlotte, Ncdual registrantIAPD 2048174

Feed of 09/14/2026

Also filed as Will S•••••••

At current firm

2 y

since Apr 29, 2024

In the industry

36 y

since May 1, 1990 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•••••• J•••• • A••••••••• I••• national BD current
since Apr 29, 2024 · Charlotte, Nc
T••••• A••••••• S•••••••• I••• BD affiliated
Feb 17, 2021 to Apr 16, 2024 · Atlanta, Ga
B••• S••••••••• L•• former
Jan 2, 2013 to Feb 17, 2021 · Charlotte, Nc
S•••• • S••••••••• L•• former
Jun 25, 2012 to Jan 2, 2013 · Charlotte, Nc
J••••• H•••••••• W••• L••••• L•• former
Jan 16, 2003 to Jun 18, 2012 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

T••••• A••••••• S•••••••• I••• to R•••••• J•••• • A••••••••• I•••
left Apr 16, 2024, registered Apr 29, 2024 (13 days) · Affiliated broker-dealer or bank to another
B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••
left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
S•••• • S••••••••• L•• to B••• S••••••••• L••
left Jan 2, 2013, registered Jan 2, 2013 (0 days) · corporate re-registration, not a move
J••••• H•••••••• W••• L••••• L•• to S•••• • S••••••••• L••
left Jun 18, 2012, registered Jun 25, 2012 (7 days) · Other

Signals

W•••••• D•••••• S••••••• left T••••• A••••••• S•••••••• I••• for R•••••• J•••• • A••••••••• I••• (registered 2024-04-29)
Apr 16, 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: National broker-dealer RIAderived
Years in industry: 36derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address