DFX Intelligence
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Registered advisor
T••• W•••••• M••••••••
Feed of 09/14/2026
Also filed as T••• W• M••••••••
At current firm
3 y
since Jul 11, 2023
In the industry
25 y
since Apr 25, 2001 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Jul 11, 2023 · Plymouth, Mn
- E•••••• A••••••• G••••• L•• BD affiliatedApr 3, 2023 to Oct 16, 2023 · Greenwood Village, Co
- P••••••• C•••••• A••••••• C••••••••• formerOct 17, 2013 to Apr 3, 2023 · Greenwood Village, Co
- R•• F•••••••• unclassifiedFeb 18, 2003 to Aug 26, 2004 · Mill Valley, Ca
- P••••••••• E••••• G••••• L•• unclassifiedSep 27, 2001 to Oct 14, 2002 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- E•••••• A••••••• G••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Oct 16, 2023, registered Jul 11, 2023 (-97 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- P••••••• C•••••• A••••••• C••••••••• to E•••••• A••••••• G••••• L••left Apr 3, 2023, registered Apr 3, 2023 (0 days) · corporate re-registration, not a move
- R•• F•••••••• to P••••••• C•••••• A••••••• C•••••••••left Aug 26, 2004, registered Oct 17, 2013 (3339 days) · Other
- P••••••••• E••••• G••••• L•• to R•• F••••••••left Oct 14, 2002, registered Feb 18, 2003 (127 days) · Other
Signals
- T••• W•••••• M•••••••• left E•••••• A••••••• G••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-07-11)Oct 16, 2023 · 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