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•••••• A•••• C••••••••

A• W••••• M••••••••• L••BD affiliatedBowling Green, KyIA-onlyIAPD 2169678

Chartered Financial Consultant

Feed of 09/14/2026

Also filed as A•••• C••••••••

At current firm

2 y

since Jun 24, 2024

In the industry

44 y

since Mar 1, 1982 (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

A• W••••• M••••••••• L•• BD affiliated current
since Jun 24, 2024 · Bowling Green, Ky
M••••••• W••••• M••••••••• L•• unclassified
Jan 6, 2022 to Dec 18, 2024 · Bowling Green, Ky
C••••••••• S••••••••• L•• BD affiliated
Jun 10, 2020 to Jan 3, 2022 · Bowling Green, Ky
C••••• S••••• A•••••••• I••• former
Jun 23, 2015 to Jun 10, 2020 · Bowling Green, Ky
O• I••••••••• M••••••••• C• BD affiliated
May 7, 2014 to Jun 15, 2015 · Bowling Green, Ky
B••••••••• C•••••• M••••••••• L•• independent RIA
Jan 14, 2013 to Mar 4, 2014 · Bowling Green, Ky
B••••••••• C•••••• M••••••••• L•• independent RIA
Jun 21, 2012 to Nov 27, 2012 · Bowling Green, Ky
G••••• F•••••••• P•••••• C••••••• I••• former
Feb 6, 2012 to Mar 7, 2012 · Bowling Green, Ky
R•••••• W••••• A•••••••• I••• independent RIA
Jun 22, 2011 to Jan 5, 2012 · Rockfield, Ky

Moves

a registration end followed by a registration begin elsewhere

M••••••• W••••• M••••••••• L•• to A• W••••• M••••••••• L••
left Dec 18, 2024, registered Jun 24, 2024 (-177 days) · Other · moved with a team
C••••••••• S••••••••• L•• to M••••••• W••••• M••••••••• L••
left Jan 3, 2022, registered Jan 6, 2022 (3 days) · Other
C••••• S••••• A•••••••• I••• to C••••••••• S••••••••• L••
left Jun 10, 2020, registered Jun 10, 2020 (0 days) · RIA to affiliated broker-dealer or bank
O• I••••••••• M••••••••• C• to C••••• S••••• A•••••••• I•••
left Jun 15, 2015, registered Jun 23, 2015 (8 days) · Other
B••••••••• C•••••• M••••••••• L•• to O• I••••••••• M••••••••• C•
left Mar 4, 2014, registered May 7, 2014 (64 days) · Other
G••••• F•••••••• P•••••• C••••••• I••• to B••••••••• C•••••• M••••••••• L••
left Mar 7, 2012, registered Jun 21, 2012 (106 days) · Other
R•••••• W••••• A•••••••• I••• to G••••• F•••••••• P•••••• C••••••• I•••
left Jan 5, 2012, registered Feb 6, 2012 (32 days) · Other

Signals

W•••••• A•••• C•••••••• left M••••••• W••••• M••••••••• L•• for A• W••••• M••••••••• L•• (registered 2024-06-24)
Dec 18, 2024 · Advisor changed firm · fact
W•••••• A•••• C•••••••• left C••••••••• S••••••••• L•• for M••••••• W••••• M••••••••• L•• (registered 2022-01-06)
Jan 3, 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: 44derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address