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

B•••• W•••••• P••••

C••••••••• S••••••••• L••BD affiliatedOwings Mills, Md dual registrantIAPD 4219262

Certified Financial Planner

Feed of 09/15/2026

Also filed as B•••• W P••••

At current firm

9 y

since Oct 12, 2016

In the industry

16 y

since Jun 7, 2010 (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

C••••••••• S••••••••• L•• BD affiliated current
since Oct 12, 2016 · Overland Park, Ks
I••••••••• A••••••• C••• former
Jan 20, 2016 to Oct 13, 2016 · Owings Mills, Md
S•••••••• F••••••••• I••• former
Jul 7, 2014 to Jan 9, 2016 · Baltimore, Md
C•••••• S••••• • C••• I••• national BD
Mar 6, 2013 to Apr 21, 2014 · Columbia, Md
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 23, 2011 to Mar 4, 2013 · Baltimore, Md

Moves

a registration end followed by a registration begin elsewhere

I••••••••• A••••••• C••• to C••••••••• S••••••••• L••
left Oct 13, 2016, registered Oct 12, 2016 (-1 days) · Other
S•••••••• F••••••••• I••• to I••••••••• A••••••• C•••
left Jan 9, 2016, registered Jan 20, 2016 (11 days) · Other
C•••••• S••••• • C••• I••• to S•••••••• F••••••••• I•••
left Apr 21, 2014, registered Jul 7, 2014 (77 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••
left Mar 4, 2013, registered Mar 6, 2013 (2 days) · Wirehouse to affiliated broker-dealer or bank

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: Broker-dealer affiliated wealth managerderived
Years in industry: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address