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

M•••••• W•••••• D•••••• W••••

T••••••••• A••••••• I••asset managerCincinnati, Oh dual registrantIAPD 4279970

Feed of 09/14/2026

Also filed as M•••••• W.D. W••••

At current firm

3 y

since Sep 30, 2022

In the industry

25 y

since Mar 5, 2001 (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

T••••••••• A••••••• I•• asset manager current
since Sep 30, 2022 · San Francisco, Ca
T•• A•••••••• I••• BD affiliated
Nov 8, 2021 to Aug 11, 2022 · San Francisco, Ca
F•••• T•••• A••••••• L• asset manager
Jul 2, 2015 to Nov 27, 2019 · San Francisco, Ca
N•••••••• B••••• B• L•• no RAUM
Nov 9, 2010 to Jun 24, 2015 · San Francisco, Ca
N••••• F••• A•••••••• L•• asset manager
Sep 9, 2002 to Nov 2, 2010 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

T•• A•••••••• I••• to T••••••••• A••••••• I••
left Aug 11, 2022, registered Sep 30, 2022 (50 days) · Other
F•••• T•••• A••••••• L• to T•• A•••••••• I•••
left Nov 27, 2019, registered Nov 8, 2021 (712 days) · Other
N•••••••• B••••• B• L•• to F•••• T•••• A••••••• L•
left Jun 24, 2015, registered Jul 2, 2015 (8 days) · Other
N••••• F••• A•••••••• L•• to N•••••••• B••••• B• L••
left Nov 2, 2010, registered Nov 9, 2010 (7 days) · Other

Signals

M•••••• W•••••• D•••••• W•••• left T•• A•••••••• I••• for T••••••••• A••••••• I•• (registered 2022-09-30)
Aug 11, 2022 · 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address