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.
Registered advisor
Benjamin P Wallace
Feed of 09/14/2026
Also filed as Benjamin Peter Wallace
At current firm
6 y
since Sep 25, 2019
In the industry
25 y
since Sep 11, 2001 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- W&S Brokerage Services, Inc. BD affiliated currentsince Sep 25, 2019 · Westlake, Tx
- Wells Fargo Advisors wirehouseNov 6, 2013 to Sep 12, 2019 · Fort Worth, Tx
- J.P. Morgan Securities LLC wirehouseOct 1, 2012 to Sep 18, 2013 · Arlington, Tx
- Chase Investment Services Corp. formerAug 16, 2006 to Oct 1, 2012 · Arlington, Tx
- Wamu Investments, Inc. unclassifiedOct 27, 2004 to Aug 9, 2006 · Fort Worth, Tx
- Wells Fargo Investments, LLC unclassifiedAug 6, 2003 to Aug 26, 2004 · Mesquite, Tx
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseDec 7, 2001 to Aug 5, 2003 · Irving, Tx
Moves
a registration end followed by a registration begin elsewhere
- Wells Fargo Advisors to W&S Brokerage Services, Inc.left Sep 12, 2019, registered Sep 25, 2019 (13 days) · Other
- J.P. Morgan Securities LLC to Wells Fargo Advisorsleft Sep 18, 2013, registered Nov 6, 2013 (49 days) · Wirehouse to wirehouse
- Chase Investment Services Corp. to J.P. Morgan Securities LLCleft Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- Wamu Investments, Inc. to Chase Investment Services Corp.left Aug 9, 2006, registered Aug 16, 2006 (7 days) · Other
- Wells Fargo Investments, LLC to Wamu Investments, Inc.left Aug 26, 2004, registered Oct 27, 2004 (62 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Wells Fargo Investments, LLCleft Aug 5, 2003, registered Aug 6, 2003 (1 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address