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

A•••• W•••••• J••••••

B•••••• F•••••••• S•••••••• L••state registeredTemecula, CaIA-onlyIAPD 4657083

Feed of 09/14/2026

At current firm

8 y

since Sep 19, 2018

In the industry

23 y

since Aug 5, 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

B•••••• F•••••••• S•••••••• L•• state registered current
since Sep 19, 2018 · Temecula, Ca
C••• B•••••••• S•••••••• I••• former
May 29, 2015 to Jun 11, 2018 · Richmond, Va
O•••• I••••••••• I••• BD affiliated
May 4, 2009 to May 13, 2015 · Colonial Heights, Va
O•••• I••••••••• I••• BD affiliated
Jun 1, 2008 to Apr 9, 2009 · Meriden, Ct
B• I••••••••• L•• unclassified
Aug 21, 2006 to Jun 1, 2008 · Glen Allen, Va
M••••• S•••••• D• I••• unclassified
Jul 19, 2005 to Jun 1, 2006 · Richmond, Va
A••••••••• F•••••••• S•••••••• L•• national BD
Aug 6, 2003 to Jun 13, 2005 · Richmond, Va

Moves

a registration end followed by a registration begin elsewhere

C••• B•••••••• S•••••••• I••• to B•••••• F•••••••• S•••••••• L••
left Jun 11, 2018, registered Sep 19, 2018 (100 days) · RIA to a state-registered adviser
O•••• I••••••••• I••• to C••• B•••••••• S•••••••• I•••
left May 13, 2015, registered May 29, 2015 (16 days) · Other
B• I••••••••• L•• to O•••• I••••••••• I•••
left Jun 1, 2008, registered Jun 1, 2008 (0 days) · corporate re-registration, not a move
M••••• S•••••• D• I••• to B• I••••••••• L••
left Jun 1, 2006, registered Aug 21, 2006 (81 days) · Other
A••••••••• F•••••••• S•••••••• L•• to M••••• S•••••• D• I•••
left Jun 13, 2005, registered Jul 19, 2005 (36 days) · Other

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