DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
W•••••• R•••
Feed of 09/15/2026
Also filed as W•••••• N• R••••••••• N••••• R•••
At current firm
13 y
since Mar 26, 2013
In the industry
32 y
since Oct 4, 1993 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
2
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Jun 4, 2026 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouse currentsince Mar 26, 2013 · Rolling Hills Estates, Ca
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJul 23, 2012 to Mar 25, 2013 · Los Angeles, Ca
- S•••••••• A••••••• L•• national BDNov 28, 2007 to Feb 13, 2012 · Torrance, Ca
- T• A••••••••• I••• formerJun 17, 2004 to Dec 4, 2006 · Woodland Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to W•••• F•••• A•••••••left Mar 25, 2013, registered Mar 26, 2013 (1 day) · Other
- S•••••••• A••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Feb 13, 2012, registered Jul 23, 2012 (161 days) · Other
- T• A••••••••• I••• to S•••••••• A••••••• L••left Dec 4, 2006, registered Nov 28, 2007 (359 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address