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.
Registered advisor
Philip Shields Wunderlich
Feed of 09/14/2026
At current firm
1 y
since Sep 19, 2024
In the industry
27 y
since Jan 20, 1999 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- Prospera Financial Services, Inc. BD affiliated currentsince Sep 19, 2024 · Memphis, Tn
- B. Riley Wealth Advisors, Inc. BD affiliatedAug 29, 2022 to Oct 1, 2024 · Memphis, Tn
- Wunderlich Capital Management formerSep 8, 2003 to Sep 20, 2024 · Memphis, Tn
- B Riley Wealth Management formerJan 6, 2003 to Dec 31, 2022 · Memphis, Tn
Moves
a registration end followed by a registration begin elsewhere
- B. Riley Wealth Advisors, Inc. to Prospera Financial Services, Inc.left Oct 1, 2024, registered Sep 19, 2024 (-12 days) · Affiliated broker-dealer or bank to another · moved with a team
- Wunderlich Capital Management to B. Riley Wealth Advisors, Inc.left Sep 20, 2024, registered Aug 29, 2022 (-753 days) · RIA to affiliated broker-dealer or bank
- B Riley Wealth Management to Wunderlich Capital Managementleft Dec 31, 2022, registered Sep 8, 2003 (-7054 days) · Other
Signals
- Philip Shields Wunderlich left B. Riley Wealth Advisors, Inc. for Prospera Financial Services, Inc. (registered 2024-09-19)Oct 1, 2024 · Advisor changed firm · fact
- Philip Shields Wunderlich left Wunderlich Capital Management for B. Riley Wealth Advisors, Inc. (registered 2022-08-29)Sep 20, 2024 · Advisor changed firm · fact
- Philip Shields Wunderlich left B Riley Wealth Management for Wunderlich Capital Management (registered 2003-09-08)Dec 31, 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address