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

E•• D• W••••••

L•••• F••• A••••••• S•••••••BD affiliatedDallas, Tx dual registrantIAPD 4597498

Feed of 09/15/2026

Also filed as Trey W••••••

At current firm

3 y

since Aug 24, 2023

In the industry

23 y

since Jan 7, 2003 (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

L•••• F••• A••••••• S••••••• BD affiliated current
since Aug 24, 2023 · Sadieville, Ky
D••••• F•••••••• G••••• L•• independent RIA
Oct 18, 2022 to Aug 15, 2023 · Lexington, Ky
L•• F•••••••• L•• BD affiliated
Nov 26, 2012 to Oct 25, 2022 · Abingdon, Va
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 21, 2005 to Nov 26, 2012 · Bristol, Tn
U•• F•••••••• S••••••• I••• wirehouse
Jan 15, 2004 to Jul 8, 2005 · Kingsport, Tn

Moves

a registration end followed by a registration begin elsewhere

D••••• F•••••••• G••••• L•• to L•••• F••• A••••••• S•••••••
left Aug 15, 2023, registered Aug 24, 2023 (9 days) · RIA to affiliated broker-dealer or bank
L•• F•••••••• L•• to D••••• F•••••••• G••••• L••
left Oct 25, 2022, registered Oct 18, 2022 (-7 days) · RIA to RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••
left Nov 26, 2012, registered Nov 26, 2012 (0 days) · Other
U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jul 8, 2005, registered Jun 21, 2005 (-17 days) · Wirehouse to wirehouse

Signals

E•• D• W•••••• left D••••• F•••••••• G••••• L•• for L•••• F••• A••••••• S••••••• (registered 2023-08-24)
Aug 15, 2023 · Advisor changed firm · fact
E•• D• W•••••• left L•• F•••••••• L•• for D••••• F•••••••• G••••• L•• (registered 2022-10-18)
Oct 25, 2022 · 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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address