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••••• B••••••••

W••••• E••••••••• A••••••• S•••••••• L••BD affiliatedPlymouth, Mn dual registrantIAPD 4550987

Feed of 09/14/2026

Also filed as W••••• G B••••••••

At current firm

2 y

since May 2, 2024

In the industry

24 y

since Sep 6, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

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 May 2, 2024 · Plymouth, Mn
T•• R••••••••• G••••• L•• former
Jan 16, 2018 to May 31, 2024 · Houston, Tx
T•• R••••••••• G••••• L•• former
Aug 14, 2013 to Dec 31, 2017 · San Diego, Ca
M••••• S•••••• wirehouse
Jan 22, 2010 to Jul 31, 2013 · Carlsbad, Ca
U•• F•••••••• S••••••• I••• wirehouse
Nov 14, 2007 to Jan 29, 2010 · The Woodlands, Tx
S•••••••• A••••••• L•• national BD
May 6, 2004 to Sep 17, 2007 · Los Angeles, Ca

Moves

a registration end followed by a registration begin elsewhere

T•• R••••••••• G••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••
left May 31, 2024, registered May 2, 2024 (-29 days) · RIA to RIA · moved with a team
M••••• S•••••• to T•• R••••••••• G••••• L••
left Jul 31, 2013, registered Aug 14, 2013 (14 days) · Other
U•• F•••••••• S••••••• I••• to M••••• S••••••
left Jan 29, 2010, registered Jan 22, 2010 (-7 days) · Wirehouse to wirehouse
S•••••••• A••••••• L•• to U•• F•••••••• S••••••• I•••
left Sep 17, 2007, registered Nov 14, 2007 (58 days) · Affiliated broker-dealer or bank to wirehouse

Signals

W••••• B•••••••• left T•• R••••••••• G••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-05-02)
May 31, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address