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

W•••••• W•••• V•• P•••

A•••• • A••••••• G••••• P•••••••independent RIACharlotte, Nc dual registrantIAPD 453276

Feed of 09/15/2026

Also filed as W•••••• W•••• Vanp•••

At current firm

3 y

since Aug 2, 2023

In the industry

46 y

since Jan 23, 1980 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A•••• • A••••••• G••••• P••••••• independent RIA current
since Aug 2, 2023 · Holmdel, Nj
S•••••• N••••••• • C••••••• I••••••••• national BD
Jan 20, 2012 to Aug 31, 2023 · Charlotte, Nc
W•••• F•••• A••••••• wirehouse
Jun 5, 2008 to Jan 23, 2012 · Charlotte, Nc
U•• F•••••••• S••••••• I••• wirehouse
Aug 14, 2000 to Feb 13, 2003 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

S•••••• N••••••• • C••••••• I••••••••• to A•••• • A••••••• G••••• P•••••••
left Aug 31, 2023, registered Aug 2, 2023 (-29 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••
left Jan 23, 2012, registered Jan 20, 2012 (-3 days) · Wirehouse to affiliated broker-dealer or bank
U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••
left Feb 13, 2003, registered Jun 5, 2008 (1939 days) · Wirehouse to wirehouse

Signals

W•••••• W•••• V•• P••• left S•••••• N••••••• • C••••••• I••••••••• for A•••• • A••••••• G••••• P••••••• (registered 2023-08-02)
Aug 31, 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: Independent wealth managerderived
Years in industry: 46derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address