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RIA Intelligence
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Registered advisor
W•••••• S•••• W•••••
Feed of 09/15/2026
Also filed as W•••••• S W•••••
At current firm
5 y
since Dec 23, 2020
In the industry
29 y
since May 29, 1997 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- B•••••••• A•••• M••••••••• L•• independent RIA currentsince Dec 23, 2020 · Rancho Mirage, Ca
- S• C•••••• A••••••• unclassifiedJun 20, 2019 to Dec 31, 2020 · Rancho Mirage, Ca
- S• C•••••• A••••••• unclassifiedMar 9, 2015 to Jun 21, 2019 · Rancho Mirage, Ca
- T• A••••••••• I••• formerApr 28, 2003 to Jan 3, 2006 · Indian Wells, Ca
Moves
a registration end followed by a registration begin elsewhere
- S• C•••••• A••••••• to B•••••••• A•••• M••••••••• L••left Dec 31, 2020, registered Dec 23, 2020 (-8 days) · Other · moved with a team
- S• C•••••• A••••••• to S• C•••••• A•••••••left Jun 21, 2019, registered Jun 20, 2019 (-1 days) · Other · moved with a team
- T• A••••••••• I••• to S• C•••••• A•••••••left Jan 3, 2006, registered Mar 9, 2015 (3352 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address