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•••••• P•••••• C•••••

S•• W••••• A•••••••• L••independent RIAParsippany, NjIA-onlyIAPD 4224274

Certified Financial Planner · Chartered Financial Analyst

Feed of 09/14/2026

Also filed as W•••••• P•••••• C•••••

At current firm

2 y

since Apr 4, 2024

In the industry

26 y

since Aug 9, 2000 (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

S•• W••••• A•••••••• L•• independent RIA current
since Apr 4, 2024 · Parsippany, Nj
B••••••••• independent RIA
Sep 6, 2013 to Mar 29, 2024 · San Francisco, Ca
L•••••••• A•••• M••••••••• asset manager
Apr 10, 2013 to Aug 19, 2013 · Phoenix, Az
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 14, 2005 to May 31, 2007 · New York, Ny
A••••••••• A•••••• S•••••••• I••• unclassified
Sep 4, 2003 to Sep 9, 2005 · Washington, Dc

Moves

a registration end followed by a registration begin elsewhere

B••••••••• to S•• W••••• A•••••••• L••
left Mar 29, 2024, registered Apr 4, 2024 (6 days) · RIA to RIA · moved with a team
L•••••••• A•••• M••••••••• to B•••••••••
left Aug 19, 2013, registered Sep 6, 2013 (18 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•••••••• A•••• M•••••••••
left May 31, 2007, registered Apr 10, 2013 (2141 days) · Other
A••••••••• A•••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 9, 2005, registered Oct 14, 2005 (35 days) · Other

Signals

W•••••• P•••••• C••••• left Bakeravenue for S•• W••••• A•••••••• L•• (registered 2024-04-04)
Mar 29, 2024 · 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: Independent wealth managerderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address