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

T•••••• A•••• W••••••

C••••• P••••••• L••independent RIALouisville, Ky IA-onlyIAPD 4456663

Feed of 09/14/2026

Also filed as Tim W••••••

At current firm

2 y

since Jan 22, 2024

In the industry

24 y

since Jan 24, 2002 (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

C••••• P••••••• L•• independent RIA current
since Jan 22, 2024 · Louisville, Ky
A•••••• P••••••• P•••••••• I••• BD affiliated
Jan 11, 2021 to Feb 2, 2024 · Louisville, Ky
A•••••• A••••••• S••••••• former
Jan 5, 2021 to Jan 8, 2021 · Louisville, Ky
A•••••• P••••••• P•••••••• I••• BD affiliated
Nov 9, 2015 to Dec 31, 2020 · Louisville, Ky
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 2, 2013 to Aug 25, 2015 · Louisville, Ky
P•••••• C••••• S•••••••• L•• BD affiliated
Jan 9, 2008 to Oct 2, 2013 · Louisville, Ky
W••••••• F•••••••• S•••••••• I••• former
Aug 15, 2005 to May 10, 2010 · Louisville, Ky
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Mar 28, 2005 to Aug 8, 2005 · Louisville, Ky
C•••••••• I••••••••• R•••••••• I••• unclassified
Aug 22, 2003 to Mar 28, 2005 · Louisville, Ky

Moves

a registration end followed by a registration begin elsewhere

A•••••• P••••••• P•••••••• I••• to C••••• P••••••• L••
left Feb 2, 2024, registered Jan 22, 2024 (-11 days) · Affiliated broker-dealer or bank to independent RIA
A•••••• A••••••• S••••••• to A•••••• P••••••• P•••••••• I•••
left Jan 8, 2021, registered Jan 11, 2021 (3 days) · Affiliated broker-dealer or bank to independent RIA
A•••••• P••••••• P•••••••• I••• to A•••••• A••••••• S•••••••
left Dec 31, 2020, registered Jan 5, 2021 (5 days) · RIA to affiliated broker-dealer or bank
A••••••••• F•••••••• S•••••••• L•• to A•••••• P••••••• P•••••••• I•••
left Aug 25, 2015, registered Nov 9, 2015 (76 days) · Other
P•••••• C••••• S•••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Oct 2, 2013, registered Oct 2, 2013 (0 days) · Other
W••••••• F•••••••• S•••••••• I••• to P•••••• C••••• S•••••••• L••
left May 10, 2010, registered Jan 9, 2008 (-852 days) · Other
C•••••••• I••••••••• R••••••• A•••••••• I••• to W••••••• F•••••••• S•••••••• I•••
left Aug 8, 2005, registered Aug 15, 2005 (7 days) · Other
C•••••••• I••••••••• R•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Mar 28, 2005, registered Mar 28, 2005 (0 days) · corporate re-registration, not a move

Signals

T•••••• A•••• W•••••• left A•••••• P••••••• P•••••••• I••• for C••••• P••••••• L•• (registered 2024-01-22)
Feb 2, 2024 · 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: Independent wealth managerderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address