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

S•••• W•••••• R•••••

C•••••• S••••• • C••• I•••national BDSanta Barbara, Cadual registrantIAPD 4809044

Certified Financial Planner

Feed of 09/14/2026

Also filed as S•••• W R•••••

At current firm

7 y

since Nov 21, 2018

In the industry

21 y

since Oct 1, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••• S••••• • C••• I••• national BD current
since Nov 21, 2018 · Santa Barbara, Ca
T• A••••••••• I••••••••• M••••••••• L•• former
Jan 30, 2009 to Nov 6, 2018 · Portland, Or
T• A••••••••• I••• former
Jan 30, 2009 to Nov 6, 2018 · Portland, Or
M••••• K••••• • C••••••• L•• former
Mar 6, 2007 to Sep 5, 2008 · Longwood, Fl
A•••••• I••••••••• M••••••••• C•••••• L•• unclassified
May 15, 2006 to Feb 20, 2007 · Memphis, Tn
W•••••• • R••• former
Oct 5, 2004 to Dec 31, 2005 · Maitland, Fl

Moves

a registration end followed by a registration begin elsewhere

T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Nov 6, 2018, registered Jan 30, 2009 (-3567 days) · Other · moved with a team
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Nov 6, 2018, registered Jan 30, 2009 (-3567 days) · channel change inside one enterprise, not a move
M••••• K••••• • C••••••• L•• to T• A••••••••• I•••
left Sep 5, 2008, registered Jan 30, 2009 (147 days) · Other
A•••••• I••••••••• M••••••••• C•••••• L•• to M••••• K••••• • C••••••• L••
left Feb 20, 2007, registered Mar 6, 2007 (14 days) · corporate re-registration, not a move
W•••••• • R••• to A•••••• I••••••••• M••••••••• C•••••• L••
left Dec 31, 2005, registered May 15, 2006 (135 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: National broker-dealer RIAderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address