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

W•••••• D••••••••

M••• S••••• F•••••••• S••••••••• L••independent RIANewtown, Pa IA-onlyIAPD 3201456

Certified Financial Planner · Chartered Financial Analyst

Feed of 09/15/2026

Also filed as William J Dougherty

At current firm

5 y

since Aug 9, 2021

In the industry

25 y

since Apr 19, 2001 (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

M••• S••••• F•••••••• S••••••••• L•• independent RIA current
since Aug 9, 2021 · Newtown, Pa
H••••••• F•••• asset manager
Jan 23, 2015 to Jul 28, 2021 · Wayne, Pa
H••••••• F•••• asset manager
Oct 4, 2013 to Dec 31, 2014 · Wayne, Pa
C•••••••• I••••••••• P••••••• former
Mar 19, 2008 to Nov 6, 2008 · Berwyn, Pa
C•••••• S••••• • C••• I••• national BD
Sep 29, 2005 to May 15, 2007 · Radnor, Pa
L•••••• F•••••••• D••••••••• I••• unclassified
Sep 9, 2002 to Sep 20, 2005 · Philadelphia, Pa

Moves

a registration end followed by a registration begin elsewhere

H••••••• F•••• to M••• S••••• F•••••••• S••••••••• L••
left Jul 28, 2021, registered Aug 9, 2021 (12 days) · Other
C•••••••• I••••••••• P••••••• to H••••••• F••••
left Nov 6, 2008, registered Oct 4, 2013 (1793 days) · Other
C•••••• S••••• • C••• I••• to C•••••••• I••••••••• P•••••••
left May 15, 2007, registered Mar 19, 2008 (309 days) · Other
L•••••• F•••••••• D••••••••• I••• to C•••••• S••••• • C••• I•••
left Sep 20, 2005, registered Sep 29, 2005 (9 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address