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

G•• B• D•••••

D••••• W••••• M••••••••• L••state registeredCharlotte, Nc IA-onlyIAPD 2504584

Feed of 09/15/2026

Also filed as G•• B• D•••••

At current firm

7 y

since Nov 16, 2018

In the industry

32 y

since Jul 12, 1994 (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

I• F•••••••• A••••••• S••••••• L•• independent RIA current
since Jan 8, 2020 · Venetia, Pa
D••••• W••••• M••••••••• L•• state registered current
since Nov 16, 2018 · Venetia, Pa
S• A•••••••• L•• independent RIA
Jan 4, 2016 to Nov 5, 2018 · Atlanta, Ga
O••••••••• • C•• I••• BD affiliated
Dec 7, 2009 to Sep 29, 2015 · Pittsburgh, Pa
S•••••• N••••••• • C••••••• I••••••••• national BD
Jul 31, 2007 to Nov 24, 2009 · Bethel Park, Pa
R••• B••• • C•• unclassified
Feb 14, 2006 to Jul 31, 2007 · Bethel Park, Pa

Moves

a registration end followed by a registration begin elsewhere

S• A•••••••• L•• to D••••• W••••• M••••••••• L••
left Nov 5, 2018, registered Nov 16, 2018 (11 days) · Affiliated broker-dealer or bank to a state-registered adviser
O••••••••• • C•• I••• to S• A•••••••• L••
left Sep 29, 2015, registered Jan 4, 2016 (97 days) · Other
S•••••• N••••••• • C••••••• I••••••••• to O••••••••• • C•• I•••
left Nov 24, 2009, registered Dec 7, 2009 (13 days) · Other
R••• B••• • C•• to S•••••• N••••••• • C••••••• I•••••••••
left Jul 31, 2007, registered Jul 31, 2007 (0 days) · corporate re-registration, not a move

Signals

No dated event on this person.

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: STATE REGISTEREDderived
Years in industry: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address