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•••••••• W•••••• T•••••••

O•••• W•••••• I•••BD affiliatedGlen Allen, Vadual registrantIAPD 2939111

Feed of 09/14/2026

Also filed as Elizabeth Ann Windsor

At current firm

2 y

since Dec 18, 2023

In the industry

28 y

since Nov 24, 1997 (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 Dec 18, 2023 · Glen Allen, Va
O•• D••••••• A•••• M••••••••• I••• unclassified
Apr 3, 2020 to Jan 2, 2024 · Glen Allen, Va
C••• B•••••••• S•••••••• I••• former
Apr 13, 2017 to Aug 28, 2019 · Richmond, Va
O•••• F•• I••• former
Oct 19, 2015 to Mar 23, 2017 · Richmond, Va
O•• D••••••• A•••• M••••••••• I••• unclassified
May 15, 2014 to Oct 13, 2015 · Glen Allen, Va
H• B•••• I••• former
Mar 10, 2011 to Mar 31, 2014 · Midlothian, Va
O•••• F•• I••• former
Apr 29, 2009 to Mar 15, 2011 · Manakin Sabot, Va
C••••• I••••••••• S••••••• L•• former
Jun 4, 2008 to Jan 6, 2009 · Richmond, Va
C••••• I••••••••• S••••••• L•• former
Aug 16, 2005 to Aug 3, 2006 · Richmond, Va
F•••• M••••• A•••••••• I••• unclassified
Apr 27, 2005 to Nov 29, 2006 · Richmond, Va
B••• I••••••••• S•••••••• I••• former
Apr 29, 2002 to Jun 1, 2004 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

O•• D••••••• A•••• M••••••••• I••• to O•••• W•••••• I•••
left Jan 2, 2024, registered Dec 18, 2023 (-15 days) · Other · moved with a team
C••• B•••••••• S•••••••• I••• to O•• D••••••• A•••• M••••••••• I•••
left Aug 28, 2019, registered Apr 3, 2020 (219 days) · Other
O•••• F•• I••• to C••• B•••••••• S•••••••• I•••
left Mar 23, 2017, registered Apr 13, 2017 (21 days) · Other
O•• D••••••• A•••• M••••••••• I••• to O•••• F•• I•••
left Oct 13, 2015, registered Oct 19, 2015 (6 days) · Other
H• B•••• I••• to O•• D••••••• A•••• M••••••••• I•••
left Mar 31, 2014, registered May 15, 2014 (45 days) · Other
O•••• F•• I••• to H• B•••• I•••
left Mar 15, 2011, registered Mar 10, 2011 (-5 days) · Other
C••••• I••••••••• S••••••• L•• to O•••• F•• I•••
left Jan 6, 2009, registered Apr 29, 2009 (113 days) · Other
F•••• M••••• A•••••••• I••• to C••••• I••••••••• S••••••• L••
left Nov 29, 2006, registered Aug 16, 2005 (-470 days) · Other
B••• I••••••••• S•••••••• I••• to F•••• M••••• A•••••••• I•••
left Jun 1, 2004, registered Apr 27, 2005 (330 days) · Other

Signals

E•••••••• W•••••• T••••••• left O•• D••••••• A•••• M••••••••• I••• for O•••• W•••••• I••• (registered 2023-12-18)
Jan 2, 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