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

T••••• J••••• W••••

C•••••••• F••••••••• I•••BD affiliatedBiloxi, Ms dual registrantIAPD 2146135

Feed of 09/14/2026

Also filed as Tom W••••

At current firm

4 y

since Mar 11, 2022

In the industry

35 y

since Jun 14, 1991 (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

C•••••••• F••••••••• I••• BD affiliated current
since Mar 11, 2022 · Biloxi, Ms
W••••••• F•••••••• S•••••••• I••• former
Mar 1, 2019 to Mar 16, 2022 · Biloxi, Ms
Q•••••• A•••• M••••••••• I••• former
Nov 21, 2016 to Mar 1, 2019 · Biloxi, Ms
A••••••• A••••••• S••••••• former
Sep 8, 2010 to Dec 1, 2016 · Lincoln, Ne
F•• S••••••••• C••••••••• former
Feb 14, 2000 to Sep 7, 2010 · Biloxi, Ms

Moves

a registration end followed by a registration begin elsewhere

W••••••• F•••••••• S•••••••• I••• to C•••••••• F••••••••• I•••
left Mar 16, 2022, registered Mar 11, 2022 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
Q•••••• A•••• M••••••••• I••• to W••••••• F•••••••• S•••••••• I•••
left Mar 1, 2019, registered Mar 1, 2019 (0 days) · corporate re-registration, not a move
A••••••• A••••••• S••••••• to Q•••••• A•••• M••••••••• I•••
left Dec 1, 2016, registered Nov 21, 2016 (-10 days) · Other
F•• S••••••••• C••••••••• to A••••••• A••••••• S•••••••
left Sep 7, 2010, registered Sep 8, 2010 (1 days) · Other

Signals

T••••• J••••• W•••• left W••••••• F•••••••• S•••••••• I••• for C•••••••• F••••••••• I••• (registered 2022-03-11)
Mar 16, 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: 35derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address