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

T•••• W•••

O•••• W•••••• I•••BD affiliatedScottsdale, Azdual registrantIAPD 2094453

Feed of 09/14/2026

Also filed as Tom W•••

At current firm

3 y

since Sep 1, 2023

In the industry

11 y

since Aug 19, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O•••• W•••••• I••• BD affiliated current
since Sep 1, 2023 · Scottsdale, Az
S•••••••• F••••••••• I••• former
Apr 12, 2022 to Sep 1, 2023 · Scottsdale, Az
E•••••••• A•••••••• L•• national BD
Jun 14, 2021 to Apr 13, 2022 · Falls Church, Va
S•••• W••••• M••••••••• L•• BD affiliated
Apr 27, 2020 to Jan 5, 2021 · Reston, Va
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 26, 2019 to Apr 3, 2020 · Burke, Va

Moves

a registration end followed by a registration begin elsewhere

S•••••••• F••••••••• I••• to O•••• W•••••• I•••
left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
E•••••••• A•••••••• L•• to S•••••••• F••••••••• I•••
left Apr 13, 2022, registered Apr 12, 2022 (-1 days) · Affiliated broker-dealer or bank to another
S•••• W••••• M••••••••• L•• to E•••••••• A•••••••• L••
left Jan 5, 2021, registered Jun 14, 2021 (160 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••• W••••• M••••••••• L••
left Apr 3, 2020, registered Apr 27, 2020 (24 days) · Wirehouse to affiliated broker-dealer or bank

Signals

T•••• W••• left E•••••••• A•••••••• L•• for S•••••••• F••••••••• I••• (registered 2022-04-12)
Apr 13, 2022 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address