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

A••••• L•••••• R•••••••

W•••• F•••• A•••••••wirehouseVinton, Va dual registrantIAPD 3198615

Feed of 09/15/2026

Also filed as A••••• Dickens

At current firm

3 y

since May 22, 2023

In the industry

27 y

since Apr 28, 1999 (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

W•••• F•••• A••••••• wirehouse current
since May 22, 2023 · Roanoke, Va
F•••• C••••••• I••••••• S•••••••• I••• BD affiliated
Aug 14, 2019 to May 15, 2023 · Roanoke, Va
E•••••••• A•••••••• L•• national BD
Dec 5, 2018 to Aug 26, 2019 · Roanoke, Va
C••••• A•••••• N••••••• L•• former
Oct 17, 2017 to Dec 6, 2018 · Roanoke, Va
I••••••••• C•••••• O• A••••••• I••• former
Jun 5, 2017 to Oct 16, 2017 · Daleville, Va
O•••• I••••••••• I••• BD affiliated
Jun 6, 2008 to Jun 7, 2017 · Midlothian, Va
W•••• F•••• A••••••• wirehouse
Feb 21, 2007 to Jun 3, 2008 · Roanoke, Va

Moves

a registration end followed by a registration begin elsewhere

F•••• C••••••• I••••••• S•••••••• I••• to W•••• F•••• A•••••••
left May 15, 2023, registered May 22, 2023 (7 days) · Affiliated broker-dealer or bank to wirehouse
E•••••••• A•••••••• L•• to F•••• C••••••• I••••••• S•••••••• I•••
left Aug 26, 2019, registered Aug 14, 2019 (-12 days) · Affiliated broker-dealer or bank to another
C••••• A•••••• N••••••• L•• to E•••••••• A•••••••• L••
left Dec 6, 2018, registered Dec 5, 2018 (-1 days) · Affiliated broker-dealer or bank to another
I••••••••• C•••••• O• A••••••• I••• to C••••• A•••••• N••••••• L••
left Oct 16, 2017, registered Oct 17, 2017 (1 days) · Other
O•••• I••••••••• I••• to I••••••••• C•••••• O• A••••••• I•••
left Jun 7, 2017, registered Jun 5, 2017 (-2 days) · Other
W•••• F•••• A••••••• to O•••• I••••••••• I•••
left Jun 3, 2008, registered Jun 6, 2008 (3 days) · Other

Signals

A••••• L•••••• R••••••• left F•••• C••••••• I••••••• S•••••••• I••• for W•••• F•••• A••••••• (registered 2023-05-22)
May 15, 2023 · a•••••• firm change · 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: Wirehousederived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address