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•••••• T••••

W••••• E••••••••• A••••••• S•••••••• L••BD affiliatedNew York, Ny IA-onlyIAPD 4365969

Certified Financial Planner · Chartered Financial Analyst

Feed of 09/15/2026

Also filed as B•••••• W•••••• T••••

At current firm

0 y

since Dec 1, 2025

In the industry

25 y

since Jul 13, 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

W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated current
since Dec 1, 2025 · Plymouth, Mn
S•••••••• W••••• M••••••••• G•••• independent RIA
Apr 21, 2022 to Jan 7, 2025 · New York, Ny
T••••••••• A••••••• I•• asset manager
Sep 26, 2018 to May 12, 2022 · New York, Ny
H••••••• F•••• asset manager
Jan 27, 2015 to Jan 4, 2018 · New York, Ny
H••••••• F•••• asset manager
Dec 9, 2014 to Dec 31, 2014 · New York, Ny
C••••••••• I••••••••• L•• mixed wealth
Dec 19, 2005 to Jun 2, 2010 · New York, Ny
C•••••••• G••••• M•••••• I••• BD affiliated
Mar 14, 2005 to Dec 16, 2005 · Stamford, Ct
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 20, 2002 to Nov 30, 2004 · Stamford, Ct

Moves

a registration end followed by a registration begin elsewhere

S•••••••• W••••• M••••••••• G•••• to W••••• E••••••••• A••••••• S•••••••• L••
left Jan 7, 2025, registered Dec 1, 2025 (328 days) · RIA to affiliated broker-dealer or bank
T••••••••• A••••••• I•• to S•••••••• W••••• M••••••••• G••••
left May 12, 2022, registered Apr 21, 2022 (-21 days) · Other
H••••••• F•••• to T••••••••• A••••••• I••
left Jan 4, 2018, registered Sep 26, 2018 (265 days) · Other
C••••••••• I••••••••• L•• to H••••••• F••••
left Jun 2, 2010, registered Dec 9, 2014 (1651 days) · Other
C•••••••• G••••• M•••••• I••• to C••••••••• I••••••••• L••
left Dec 16, 2005, registered Dec 19, 2005 (3 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••
left Nov 30, 2004, registered Mar 14, 2005 (104 days) · Other

Signals

B•••••• W•••••• T•••• left S•••••••• W••••• M••••••••• G•••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-12-01)
Jan 7, 2025 · Advisor changed firm · fact
B•••••• W•••••• T•••• left T••••••••• A••••••• I•• for S•••••••• W••••• M••••••••• G•••• (registered 2022-04-21)
May 12, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address