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•••••• A•• R•••••••

W••••• E••••••••• A••••••• S•••••••• L••BD affiliatedPlymouth, Mn IA-onlyIAPD 4246083

Certified Financial Planner

Feed of 09/14/2026

At current firm

5 y

since Apr 7, 2021

In the industry

18 y

since Apr 15, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated current
since Apr 7, 2021 · Plymouth, Mn
N•••• A••••••• M••••••••• C••• former
Dec 14, 2018 to Apr 14, 2021 · Boston, Ma
L••• S••••• A••••••• former
Apr 25, 2017 to Nov 26, 2018 · Portsmouth, Nh
L••• S••••• A•••••••• L•• former
Jul 10, 2013 to Apr 20, 2017 · Portsmouth, Nh
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 16, 2008 to Jun 4, 2013 · Boston, Ma

Moves

a registration end followed by a registration begin elsewhere

N•••• A••••••• M••••••••• C••• to W••••• E••••••••• A••••••• S•••••••• L••
left Apr 14, 2021, registered Apr 7, 2021 (-7 days) · RIA to affiliated broker-dealer or bank · moved with a team
L••• S••••• A••••••• to N•••• A••••••• M••••••••• C•••
left Nov 26, 2018, registered Dec 14, 2018 (18 days) · RIA to RIA
L••• S••••• A•••••••• L•• to L••• S••••• A•••••••
left Apr 20, 2017, registered Apr 25, 2017 (5 days) · channel change inside one enterprise, not a move · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L••• S••••• A•••••••• L••
left Jun 4, 2013, registered Jul 10, 2013 (36 days) · Other

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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address