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•••••• R•••••• P•••••••

W•••• F•••• A•••••••wirehouseGreenville, Sc dual registrantIAPD 4137070

Feed of 09/15/2026

Also filed as A•••••• R•••••• P•••••••

At current firm

1 y

since Jun 24, 2025

In the industry

25 y

since Jan 26, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

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 Jun 24, 2025 · Greenville, Sc
T••••• A••••••• S•••••••• I••• BD affiliated
Aug 14, 2023 to Jun 11, 2025 · Spartanburg, Sc
C•••••••• G••••• M•••••• I••• BD affiliated
Aug 10, 2015 to Jul 17, 2023 · Bayport, Ny
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Jun 23, 2015 · Southampton, Ny
C•••• I••••••••• S••••••• C•••• former
May 23, 2012 to Oct 1, 2012 · Southhampton, Ny
H••• S••••••••• •••• I••• BD affiliated
Apr 28, 2010 to Apr 20, 2011 · Port Jefferson, Ny
W•••• F•••• A••••••• wirehouse
May 13, 2008 to Dec 31, 2009 · White Plains, Ny
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Oct 20, 2004 to Apr 25, 2008 · Melville, Ny
Q•••• • R•••••• I••• unclassified
Jun 11, 2004 to Oct 20, 2004 · Forest Hills, Ny

Moves

a registration end followed by a registration begin elsewhere

T••••• A••••••• S•••••••• I••• to W•••• F•••• A•••••••
left Jun 11, 2025, registered Jun 24, 2025 (13 days) · Affiliated broker-dealer or bank to wirehouse
C•••••••• G••••• M•••••• I••• to T••••• A••••••• S•••••••• I•••
left Jul 17, 2023, registered Aug 14, 2023 (28 days) · Affiliated broker-dealer or bank to another
J••• M••••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••
left Jun 23, 2015, registered Aug 10, 2015 (48 days) · Other
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
H••• S••••••••• •••• I••• to C•••• I••••••••• S••••••• C••••
left Apr 20, 2011, registered May 23, 2012 (399 days) · Other
W•••• F•••• A••••••• to H••• S••••••••• •••• I•••
left Dec 31, 2009, registered Apr 28, 2010 (118 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••
left Apr 25, 2008, registered May 13, 2008 (18 days) · Other
Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move

Signals

A•••••• R•••••• P••••••• left T••••• A••••••• S•••••••• I••• for W•••• F•••• A••••••• (registered 2025-06-24)
Jun 11, 2025 · Advisor changed firm · fact
A•••••• R•••••• P••••••• left C•••••••• G••••• M•••••• I••• for T••••• A••••••• S•••••••• I••• (registered 2023-08-14)
Jul 17, 2023 · 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: Wirehousederived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address