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.

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Registered advisor

B•••• D•••• W•••••

C••••••• M••••• L••asset managerNew Castle, Pa IA-onlyIAPD 3019760

Feed of 09/14/2026

Also filed as B•••• D•••• W•••••

At current firm

9 y

since Jun 30, 2017

In the industry

25 y

since Jul 30, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••• M••••• L•• asset manager current
since Jun 30, 2017 · New Castle, Pa
C••••• I••••••••• M••••••••• L•• no RAUM
Jun 9, 2015 to Jul 7, 2017 · Scottsdale, Az
F•••• A••••• A•••• M••••••••• I••• former
Jan 1, 2007 to Oct 30, 2015 · Scottsdale, Az
F•••• A••••• A•••• M••••••••• I••• former
Nov 20, 2006 to Dec 31, 2006 · Scottsdale, Az
G•••••••• I••••••••• M••••••••• I••• unclassified
Mar 3, 2005 to Oct 24, 2008 · Scottsdale, Az
P••••••• I••••••••• A•••••••• L•• unclassified
Jan 21, 2003 to Apr 28, 2005 · Scottsdale, Az

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• M••••••••• L•• to C••••••• M••••• L••
left Jul 7, 2017, registered Jun 30, 2017 (-7 days) · Other · moved with a team
F•••• A••••• A•••• M••••••••• I••• to C••••• I••••••••• M••••••••• L••
left Oct 30, 2015, registered Jun 9, 2015 (-143 days) · Other · moved with a team
G•••••••• I••••••••• M••••••••• I••• to F•••• A••••• A•••• M••••••••• I•••
left Oct 24, 2008, registered Nov 20, 2006 (-704 days) · Other
P••••••• I••••••••• A•••••••• L•• to G•••••••• I••••••••• M••••••••• I•••
left Apr 28, 2005, registered Mar 3, 2005 (-56 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: Asset manager (funds and pooled vehicles)derived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address