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••••• E••••• L••

L•• E••••••••• L••BD affiliatedAtlanta, Gadual registrantIAPD 3246138

Certified Financial Planner

Feed of 09/14/2026

Also filed as W••••• E••••• L••

At current firm

0 y

since Feb 18, 2026

In the industry

27 y

since Jun 28, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• E••••••••• L•• BD affiliated current
since Feb 18, 2026 · Atlanta, Ga
A••••••••• F•••••••• S•••••••• L•• national BD
Nov 20, 2023 to Feb 23, 2024 · Atlanta, Ga
C••••• I••••••••• A••••••• L•• BD affiliated
Mar 21, 2023 to Nov 21, 2023 · Atlanta, Ga
C••••• A•••••• N••••••• L•• former
Jun 9, 2021 to Jun 29, 2023 · Gainesville, Ga
V••• F•••••••• A•••••••• I••• BD affiliated
May 16, 2011 to Jun 9, 2021 · Atlanta, Ga
Q•• F•••••••• L•• unclassified
Sep 25, 2003 to Feb 11, 2011 · Omaha, Ne
P•••• S••••••••• L•• no RAUM
Apr 17, 2003 to Sep 22, 2003 · Atlanta, Ga

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to L•• E••••••••• L••
left Feb 23, 2024, registered Feb 18, 2026 (726 days) · Affiliated broker-dealer or bank to another
C••••• I••••••••• A••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Nov 21, 2023, registered Nov 20, 2023 (-1 days) · Affiliated broker-dealer or bank to another
C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••
left Jun 29, 2023, registered Mar 21, 2023 (-100 days) · corporate re-registration, not a move
V••• F•••••••• A•••••••• I••• to C••••• A•••••• N••••••• L••
left Jun 9, 2021, registered Jun 9, 2021 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
Q•• F•••••••• L•• to V••• F•••••••• A•••••••• I•••
left Feb 11, 2011, registered May 16, 2011 (94 days) · Other
P•••• S••••••••• L•• to Q•• F•••••••• L••
left Sep 22, 2003, registered Sep 25, 2003 (3 days) · Other

Signals

W••••• E••••• L•• left A••••••••• F•••••••• S•••••••• L•• for L•• E••••••••• L•• (registered 2026-02-18)
Feb 23, 2024 · a•••••• firm change · fact
W••••• E••••• L•• left C••••• I••••••••• A••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-11-20)
Nov 21, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address