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

R•••• W• L•••

L•• E••••••••• L••BD affiliatedGulfport, Ms dual registrantIAPD 2289522

Feed of 09/14/2026

Also filed as R•••• William L•••

At current firm

1 y

since Nov 14, 2024

In the industry

30 y

since Jan 26, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• E••••••••• L•• BD affiliated current
since Nov 14, 2024 · Baton Rouge, La
P•••• S••••••••• L•• no RAUM
Apr 5, 2024 to Nov 14, 2024 · Ridgeland, Ms
T••••••• I••••••••• M••••••••• I••• BD affiliated
Jan 29, 2024 to Feb 12, 2024 · Minneapolis, Mn
M•• I•••••••• S•••••••• L•• BD affiliated
Oct 12, 2022 to May 18, 2023 · Cincinnati, Oh
F•• S••••••••• C••••••••• former
Feb 27, 2009 to Oct 27, 2020 · Beavercreek, Oh
S•••••••• C•••••• A••••••• unclassified
Feb 18, 2003 to Nov 3, 2022 · Avon, Oh
A•••••••• C•••••• C••••••••• unclassified
Feb 27, 2002 to Feb 27, 2009 · Avon, Oh

Moves

a registration end followed by a registration begin elsewhere

P•••• S••••••••• L•• to L•• E••••••••• L••
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
T••••••• I••••••••• M••••••••• I••• to P•••• S••••••••• L••
left Feb 12, 2024, registered Apr 5, 2024 (53 days) · Affiliated broker-dealer or bank to another
M•• I•••••••• S•••••••• L•• to T••••••• I••••••••• M••••••••• I•••
left May 18, 2023, registered Jan 29, 2024 (256 days) · Affiliated broker-dealer or bank to another
S•••••••• C•••••• A••••••• to F•• S••••••••• C•••••••••
left Nov 3, 2022, registered Feb 27, 2009 (-4997 days) · Other
F•• S••••••••• C••••••••• to M•• I•••••••• S•••••••• L••
left Oct 27, 2020, registered Oct 12, 2022 (715 days) · Affiliated broker-dealer or bank to another
A•••••••• C•••••• C••••••••• to S•••••••• C•••••• A•••••••
left Feb 27, 2009, registered Feb 18, 2003 (-2201 days) · Other

Signals

R•••• W• L••• left T••••••• I••••••••• M••••••••• I••• for P•••• S••••••••• L•• (registered 2024-04-05)
Feb 12, 2024 · Advisor changed firm · fact
R•••• W• L••• left M•• I•••••••• S•••••••• L•• for T••••••• I••••••••• M••••••••• I••• (registered 2024-01-29)
May 18, 2023 · Advisor changed firm · fact
R•••• W• L••• left S•••••••• C•••••• A••••••• for F•• S••••••••• C••••••••• (registered 2009-02-27)
Nov 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: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address