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

D•••• H• W•••••••

P••• A••••• S••••••••• L••BD affiliatedRiverside, Ridual registrantIAPD 2801555

Feed of 09/14/2026

Also filed as Dave W•••••••

At current firm

1 y

since Nov 6, 2024

In the industry

29 y

since Dec 16, 1996 (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

P••• A••••• S••••••••• L•• BD affiliated current
since Nov 6, 2024 · Riverside, Ri
O•••• W•••••• I••• BD affiliated
Sep 1, 2023 to Oct 31, 2024 · Needham Heights, Ma
S•••••••• F••••••••• I••• former
Aug 2, 2022 to Sep 1, 2023 · Braintree, Ma
S••••••• F•••••••• S•••••••• I••• former
Jul 9, 2021 to Aug 19, 2022 · Braintree, Ma
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 4, 2016 to Jul 7, 2021 · Providence, Ri
O•••• F•• I••• former
Jun 12, 2008 to Oct 19, 2016 · Cranston, Ri
N•• E•••••• S••••••••• C••••••••• former
Feb 7, 2005 to Jun 16, 2008 · East Providence, Ri

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to P••• A••••• S••••••••• L••
left Oct 31, 2024, registered Nov 6, 2024 (6 days) · Affiliated broker-dealer or bank to another · moved with a team
S•••••••• F••••••••• I••• to O•••• W•••••• I•••
left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
S••••••• F•••••••• S•••••••• I••• to S•••••••• F••••••••• I•••
left Aug 19, 2022, registered Aug 2, 2022 (-17 days) · RIA to affiliated broker-dealer or bank · moved with a team
A••••••••• F•••••••• S•••••••• L•• to S••••••• F•••••••• S•••••••• I•••
left Jul 7, 2021, registered Jul 9, 2021 (2 days) · Affiliated broker-dealer or bank to another
O•••• F•• I••• to A••••••••• F•••••••• S•••••••• L••
left Oct 19, 2016, registered Oct 4, 2016 (-15 days) · Other
N•• E•••••• S••••••••• C••••••••• to O•••• F•• I•••
left Jun 16, 2008, registered Jun 12, 2008 (-4 days) · Other

Signals

D•••• H• W••••••• left O•••• W•••••• I••• for P••• A••••• S••••••••• L•• (registered 2024-11-06)
Oct 31, 2024 · Advisor changed firm · fact
D•••• H• W••••••• left S••••••• F•••••••• S•••••••• I••• for S•••••••• F••••••••• I••• (registered 2022-08-02)
Aug 19, 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: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address