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

P•••• W•••••• S•••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedCincinnati, Ohdual registrantIAPD 5060079

Feed of 09/14/2026

Also filed as Pete W•••••• S•••••

At current firm

0 y

since Dec 10, 2025

In the industry

20 y

since Jan 3, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Dec 10, 2025 · Cincinnati, Oh
K••••• A••••••• S•••••••• L•• BD affiliated
Mar 23, 2018 to Nov 18, 2025 · Cincinnati, Oh
M••••• S•••••• wirehouse
Dec 5, 2011 to Mar 26, 2018 · Cincinnati, Oh
C•••• I••••••••• S••••••• C•••• former
Nov 17, 2008 to Dec 7, 2011 · Cincinnati, Oh
N•••••• I••••••••• I••• unclassified
Jun 25, 2008 to Oct 23, 2008 · Cincinnati, Oh
S•••••••• A••••••• L•• national BD
Jul 11, 2007 to May 13, 2008 · Blue Ash, Oh

Moves

a registration end followed by a registration begin elsewhere

K••••• A••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Nov 18, 2025, registered Dec 10, 2025 (22 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to K••••• A••••••• S•••••••• L••
left Mar 26, 2018, registered Mar 23, 2018 (-3 days) · Other
C•••• I••••••••• S••••••• C•••• to M••••• S••••••
left Dec 7, 2011, registered Dec 5, 2011 (-2 days) · Other
N•••••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••
left Oct 23, 2008, registered Nov 17, 2008 (25 days) · Other
S•••••••• A••••••• L•• to N•••••• I••••••••• I•••
left May 13, 2008, registered Jun 25, 2008 (43 days) · Other

Signals

P•••• W•••••• S••••• left K••••• A••••••• S•••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-12-10)
Nov 18, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address