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

W•••• M• O••••••••

W•••• F•••• A•••••••wirehouseWillmar, Mn dual registrantIAPD 4919582

Feed of 09/15/2026

Also filed as W•••• M Thomas

At current firm

1 y

since Sep 4, 2025

In the industry

20 y

since Nov 22, 2005 (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

W•••• F•••• A••••••• wirehouse current
since Sep 4, 2025 · Superior , Wi
L•• F•••••••• L•• BD affiliated
May 18, 2022 to Sep 16, 2025 · Ashland, Wi
C••• B•••••••• S•••••••• I••• former
Apr 10, 2017 to May 18, 2022 · Superior, Wi
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to Mar 29, 2017 · Cloquet, Mn
W•••• F•••• I••••••••• L•• unclassified
Nov 28, 2005 to Jan 3, 2011 · Cloquet, Mn

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to W•••• F•••• A•••••••
left Sep 16, 2025, registered Sep 4, 2025 (-12 days) · Affiliated broker-dealer or bank to wirehouse
C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••
left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to C••• B•••••••• S•••••••• I•••
left Mar 29, 2017, registered Apr 10, 2017 (12 days) · Other
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move

Signals

W•••• M• O•••••••• left L•• F•••••••• L•• for W•••• F•••• A••••••• (registered 2025-09-04)
Sep 16, 2025 · 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: Wirehousederived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address