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

R•••••• W••••• G•••••••

G•••••••• W••••• P•••••••BD affiliatedWarwick, Ri IA-onlyIAPD 4637237

Feed of 09/14/2026

At current firm

4 y

since Dec 17, 2021

In the industry

23 y

since May 9, 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

G•••••••• W••••• P••••••• BD affiliated current
since Dec 17, 2021 · Warwick, Ri
E•••••• F•••••••• E•••••• independent RIA
Nov 30, 2016 to Feb 19, 2020 · Warwick, Ri
F•••••••• E•••••• A•••••• C•••••• L•• former
Apr 1, 2016 to Nov 30, 2016 · Warwick, Ri
T•• M••••• F••• S•••• unclassified
Aug 23, 2007 to Apr 26, 2016 · Warwick, Ri
S•••••••• A••••••• L•• national BD
Mar 29, 2004 to Apr 12, 2005 · Smithfield, Ri
A••••••••• F•••••••• S•••••••• L•• national BD
Jun 5, 2003 to Mar 1, 2004 · Cranston, Ri

Moves

a registration end followed by a registration begin elsewhere

E•••••• F•••••••• E•••••• to G•••••••• W••••• P•••••••
left Feb 19, 2020, registered Dec 17, 2021 (667 days) · RIA to RIA
F•••••••• E•••••• A•••••• C•••••• L•• to E•••••• F•••••••• E••••••
left Nov 30, 2016, registered Nov 30, 2016 (0 days) · corporate re-registration, not a move
T•• M••••• F••• S•••• to F•••••••• E•••••• A•••••• C•••••• L••
left Apr 26, 2016, registered Apr 1, 2016 (-25 days) · Other
S•••••••• A••••••• L•• to T•• M••••• F••• S••••
left Apr 12, 2005, registered Aug 23, 2007 (863 days) · Other
A••••••••• F•••••••• S•••••••• L•• to S•••••••• A••••••• L••
left Mar 1, 2004, registered Mar 29, 2004 (28 days) · Affiliated broker-dealer or bank to another

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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address