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

E••••• F••••••• W•••••

O•••• W•••••• I•••BD affiliatedScottsdale, Azdual registrantIAPD 2937714

Feed of 09/14/2026

Also filed as E••••• F••••••• W•••••

At current firm

1 y

since Apr 23, 2025

In the industry

28 y

since Mar 28, 1998 (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•••• W•••••• I••• BD affiliated current
since Apr 23, 2025 · Scottsdale, Az
T••••• A••••••• S•••••••• I••• BD affiliated
Nov 19, 2018 to Aug 7, 2024 · Atlanta, Ga
F•• S••••••••• C••••••••• former
Feb 10, 2010 to Nov 2, 2018 · Atlanta, Ga
J••• M••••• S••••••••• I••• unclassified
Sep 27, 2006 to Oct 12, 2006 · New York, Ny
C•••• I••••••••• S••••••• C•••• former
Mar 3, 2005 to Jul 2, 2008 · Columbus, Oh
B••• O•• S••••••••• C••••••••• unclassified
Dec 17, 2004 to Sep 27, 2006 · Columbus, Oh
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 11, 2001 to Dec 16, 2004 · Dublin, Oh

Moves

a registration end followed by a registration begin elsewhere

T••••• A••••••• S•••••••• I••• to O•••• W•••••• I•••
left Aug 7, 2024, registered Apr 23, 2025 (259 days) · Affiliated broker-dealer or bank to another
F•• S••••••••• C••••••••• to T••••• A••••••• S•••••••• I•••
left Nov 2, 2018, registered Nov 19, 2018 (17 days) · Affiliated broker-dealer or bank to another
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• I•••
left Jul 2, 2008, registered Sep 27, 2006 (-644 days) · Other
J••• M••••• S••••••••• I••• to F•• S••••••••• C•••••••••
left Oct 12, 2006, registered Feb 10, 2010 (1217 days) · Other
B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••
left Sep 27, 2006, registered Mar 3, 2005 (-573 days) · Other
A••••••••• F•••••••• S•••••••• L•• to B••• O•• S••••••••• C•••••••••
left Dec 16, 2004, registered Dec 17, 2004 (1 days) · Other

Signals

E••••• F••••••• W••••• left T••••• A••••••• S•••••••• I••• for O•••• W•••••• I••• (registered 2025-04-23)
Aug 7, 2024 · 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address