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

T••••• W••••• C••••••

P••• I••••••••• A•••••••• L•••asset managerNew York, Ny dual registrantIAPD 4033066

Feed of 09/15/2026

Also filed as T••••• W••••• C••••••

At current firm

2 y

since Mar 25, 2024

In the industry

26 y

since Nov 13, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

P••• I••••••••• A•••••••• L••• asset manager current
since Mar 25, 2024 · Allen, Tx
W••••••• W••••• M••••••••• mixed wealth
Mar 31, 2021 to Apr 1, 2024 · Dallas, Tx
L••••••• A•••• M••••••••• L•• asset manager
May 15, 2007 to Mar 31, 2011 · Dallas, Tx
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Aug 18, 2003 to May 15, 2007 · Dallas, Tx
B••• O• A•••••• S••••••••• L•• unclassified
Oct 20, 2000 to Aug 20, 2003 · Dallas, Tx

Moves

a registration end followed by a registration begin elsewhere

W••••••• W••••• M••••••••• to P••• I••••••••• A•••••••• L•••
left Apr 1, 2024, registered Mar 25, 2024 (-7 days) · RIA to RIA
L••••••• A•••• M••••••••• L•• to W••••••• W••••• M•••••••••
left Mar 31, 2011, registered Mar 31, 2021 (3653 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to L••••••• A•••• M••••••••• L••
left May 15, 2007, registered May 15, 2007 (0 days) · Other
B••• O• A•••••• S••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Aug 20, 2003, registered Aug 18, 2003 (-2 days) · corporate re-registration, not a move

Signals

T••••• W••••• C•••••• left W••••••• W••••• M••••••••• for P••• I••••••••• A•••••••• L••• (registered 2024-03-25)
Apr 1, 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: Asset manager (funds and pooled vehicles)derived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address