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.
Feed of 09/14/2026
Also filed as Wes Taylor
At current firm
1 y
since Jul 11, 2025
In the industry
21 y
since Oct 29, 2004 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Jul 11, 2025 · Allen, Tx
- Beaumont Financial Partners LLC formerJan 26, 2015 to Jun 17, 2019 · Allen, Tx
- Assetmark, Inc. BD affiliatedJan 7, 2013 to Oct 7, 2014 · Concord, Ca
- Blackrock Financial Management, Inc otherMay 18, 2006 to Jan 3, 2007 · Wilmington, De
- Blackrock Capital Management, Inc. asset managerOct 29, 2004 to May 18, 2006 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- Beaumont Financial Partners LLC to LPL Financial LLCleft Jun 17, 2019, registered Jul 11, 2025 (2216 days) · RIA to affiliated broker-dealer or bank
- Assetmark, Inc. to Beaumont Financial Partners LLCleft Oct 7, 2014, registered Jan 26, 2015 (111 days) · Other
- Blackrock Financial Management, Inc to Assetmark, Inc.left Jan 3, 2007, registered Jan 7, 2013 (2196 days) · Other
- Blackrock Capital Management, Inc. to Blackrock Financial Management, Incleft May 18, 2006, registered May 18, 2006 (0 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address