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•••••• T••• D••••

W••••••••• A••••••• P••••••• L••BD affiliatedWest Chester, Pa dual registrantIAPD 2679869

Feed of 09/14/2026

Also filed as R T••• D••••

At current firm

5 y

since Jul 14, 2021

In the industry

30 y

since Nov 10, 1995 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W••••••••• A••••••• P••••••• L•• BD affiliated current
since Jul 14, 2021 · West Chester, Pa
E•••••••• A••••••• former
Feb 2, 2017 to Oct 29, 2021 · Winston Salem, Nc
W•••• F•••••••• C•••••••• L•• unclassified
Apr 17, 2007 to Aug 11, 2021 · Winston Salem, Nc
T•••• A•••••••• L•• former
Mar 14, 2006 to Apr 17, 2007 · Winston Salem, Nc
O•••• F•• I••• former
Dec 31, 2001 to Mar 15, 2006 · Winston-Salem, Nc

Moves

a registration end followed by a registration begin elsewhere

E•••••••• A••••••• to W••••••••• A••••••• P••••••• L••
left Oct 29, 2021, registered Jul 14, 2021 (-107 days) · RIA to RIA
W•••• F•••••••• C•••••••• L•• to E•••••••• A•••••••
left Aug 11, 2021, registered Feb 2, 2017 (-1651 days) · Other · moved with a team
T•••• A•••••••• L•• to W•••• F•••••••• C•••••••• L••
left Apr 17, 2007, registered Apr 17, 2007 (0 days) · Other
O•••• F•• I••• to T•••• A•••••••• L••
left Mar 15, 2006, registered Mar 14, 2006 (-1 days) · Other

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: 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