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

D•••• B•••••

B••••••••• W••••• A•••••••• L••no RAUMWheaton, Il IA-onlyIAPD 2054378

Feed of 09/15/2026

Also filed as Di B•••••

At current firm

2 y

since Jan 4, 2024

In the industry

33 y

since Dec 29, 1992 (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

B••••••••• W••••• A•••••••• L•• no RAUM current
since Jan 4, 2024 · Laguna Hills, Ca
V••••• C•••••• M••••••••• L•• independent RIA
May 29, 2019 to Jan 9, 2024 · Laguna Hills, Ca
S••••• M••••••••• independent RIA
Jun 20, 2017 to Jun 5, 2018 · Santa Barbara, Ca
P••••••••• A••••••• S••••••• L•• former
Jun 24, 2015 to May 1, 2017 · Santa Barbara, Ca
F•••• A••••••• N•••••••• L•• independent RIA
May 19, 2014 to Jun 21, 2017 · Henderson, Nv
I•••••••• A•••••••• L•• BD affiliated
Jun 22, 2012 to Dec 31, 2013 · Urbandale, Ia
F• A•••••• N••••••• L••• former
Nov 3, 2010 to May 31, 2012 · Henderson, Nv
R••••••• C••••• A••••••• S••••••• former
Oct 9, 2009 to Jun 15, 2010 · Henderson, Nv
H••••• I••••••••• M••••••••• L•• independent RIA
Jan 16, 2008 to Sep 17, 2008 · Henderson, Nv
U•• W••••• M••••••••• L•• former
Aug 2, 2007 to Dec 6, 2007 · Henderson, Nv

Moves

a registration end followed by a registration begin elsewhere

V••••• C•••••• M••••••••• L•• to B••••••••• W••••• A•••••••• L••
left Jan 9, 2024, registered Jan 4, 2024 (-5 days) · Other
S••••• M••••••••• to V••••• C•••••• M••••••••• L••
left Jun 5, 2018, registered May 29, 2019 (358 days) · RIA to RIA
F•••• A••••••• N•••••••• L•• to P••••••••• A••••••• S••••••• L••
left Jun 21, 2017, registered Jun 24, 2015 (-728 days) · Other
P••••••••• A••••••• S••••••• L•• to S••••• M•••••••••
left May 1, 2017, registered Jun 20, 2017 (50 days) · Other
I•••••••• A•••••••• L•• to F•••• A••••••• N•••••••• L••
left Dec 31, 2013, registered May 19, 2014 (139 days) · Other
F• A•••••• N••••••• L••• to I•••••••• A•••••••• L••
left May 31, 2012, registered Jun 22, 2012 (22 days) · Other
R••••••• C••••• A••••••• S••••••• to F• A•••••• N••••••• L•••
left Jun 15, 2010, registered Nov 3, 2010 (141 days) · Other
H••••• I••••••••• M••••••••• L•• to R••••••• C••••• A••••••• S•••••••
left Sep 17, 2008, registered Oct 9, 2009 (387 days) · Other
U•• W••••• M••••••••• L•• to H••••• I••••••••• M••••••••• L••
left Dec 6, 2007, registered Jan 16, 2008 (41 days) · Other

Signals

D•••• B••••• left V••••• C•••••• M••••••••• L•• for B••••••••• W••••• A•••••••• L•• (registered 2024-01-04)
Jan 9, 2024 · a•••••• firm change · 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: No RAUM reportedderived
Years in industry: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address