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

P••• A•••••••• C••••

W•••• F•••• A•••••••wirehouseLas Vegas, Nvdual registrantIAPD 2162723

Feed of 09/14/2026

At current firm

2 y

since Aug 8, 2024

In the industry

35 y

since Aug 29, 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

W•••• F•••• A••••••• wirehouse current
since Aug 8, 2024 · Las Vegas, Nv
R•• S••••••••• I••• BD affiliated
Jul 6, 2011 to Sep 6, 2024 · Las Vegas, Nv
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to Jun 27, 2011 · Henderson, Nv
W•••• F•••• I••••••••• L•• unclassified
Nov 21, 2008 to Jan 3, 2011 · Las Vegas, Nv
C•••••••• G••••• M•••••• I••• BD affiliated
May 29, 2007 to Dec 11, 2008 · Henderson, Nv
C••••••• I••••••••• S••••••• unclassified
May 23, 2005 to May 29, 2007 · Henderson, Nv
Z•••• D•••••• I••• unclassified
Aug 5, 2004 to May 24, 2005 · Las Vegas , Nv
C••••••• I••••••••• S••••••• unclassified
Mar 11, 2003 to Aug 3, 2004 · Las Vegas, Nv

Moves

a registration end followed by a registration begin elsewhere

R•• S••••••••• I••• to W•••• F•••• A•••••••
left Sep 6, 2024, registered Aug 8, 2024 (-29 days) · RIA to wirehouse
W•••• F•••• A••••••• to R•• S••••••••• I•••
left Jun 27, 2011, registered Jul 6, 2011 (9 days) · Other
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
C•••••••• G••••• M•••••• I••• to W•••• F•••• I••••••••• L••
left Dec 11, 2008, registered Nov 21, 2008 (-20 days) · Other
C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••
left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
Z•••• D•••••• I••• to C••••••• I••••••••• S•••••••
left May 24, 2005, registered May 23, 2005 (-1 days) · Other
C••••••• I••••••••• S••••••• to Z•••• D•••••• I•••
left Aug 3, 2004, registered Aug 5, 2004 (2 days) · Other

Signals

P••• A•••••••• C•••• left R•• S••••••••• I••• for W•••• F•••• A••••••• (registered 2024-08-08)
Sep 6, 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: 35derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address