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

B•••••• W•••• S••••

O•••••••• F•••••••• S••••••• L••independent RIABirmingham, Al dual registrantIAPD 2749932

Feed of 09/14/2026

Also filed as B•••••• W S••••

At current firm

1 y

since Dec 3, 2024

In the industry

30 y

since Jul 22, 1996 (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

O•••••••• F•••••••• S••••••• L•• independent RIA current
since Dec 3, 2024 · Birmingham, Al
T••••••• A•••••• N••••••• L•• BD affiliated
Sep 13, 2022 to Dec 31, 2024 · Minneapolis, Mn
P••••••• P•••••• W•••••• L•• former
Jul 9, 2020 to Sep 8, 2022 · Burlington, Ma
W•••• F•••• A••••••• wirehouse
Jun 23, 2014 to Jul 6, 2020 · Beverly, Ma

Moves

a registration end followed by a registration begin elsewhere

T••••••• A•••••• N••••••• L•• to O•••••••• F•••••••• S••••••• L••
left Dec 31, 2024, registered Dec 3, 2024 (-28 days) · Affiliated broker-dealer or bank to independent RIA
P••••••• P•••••• W•••••• L•• to T••••••• A•••••• N••••••• L••
left Sep 8, 2022, registered Sep 13, 2022 (5 days) · RIA to affiliated broker-dealer or bank
W•••• F•••• A••••••• to P••••••• P•••••• W•••••• L••
left Jul 6, 2020, registered Jul 9, 2020 (3 days) · Wirehouse to independent RIA

Signals

B•••••• W•••• S•••• left T••••••• A•••••• N••••••• L•• for O•••••••• F•••••••• S••••••• L•• (registered 2024-12-03)
Dec 31, 2024 · a•••••• firm change · fact
B•••••• W•••• S•••• left P••••••• P•••••• W•••••• L•• for T••••••• A•••••• N••••••• L•• (registered 2022-09-13)
Sep 8, 2022 · a•••••• firm change · 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: Independent wealth managerderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address