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•••• B••• A••••

B•••••• A••••••• G•••• L••independent RIALittle Silver, Nj dual registrantIAPD 5103186

Certified Financial Planner

Feed of 09/15/2026

At current firm

1 y

since Sep 4, 2025

In the industry

19 y

since Jul 12, 2007 (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•••••• A••••••• G•••• L•• independent RIA current
since Sep 4, 2025 · Grass Valley, Ca
L•• I••••••••• independent RIA
Apr 21, 2023 to Jul 10, 2025 · Palm Beach Gardens, Fl
M• H••••••• S••••••••• I••• BD affiliated
Mar 27, 2020 to Apr 1, 2024 · Portland, Or
T• A••••••••• I••••••••• M••••••••• L•• former
Oct 15, 2010 to Jul 13, 2018 · Boca Raton, Fl
T• A••••••••• I••• former
Oct 15, 2010 to Jul 13, 2018 · Boca Raton, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 13, 2007 to Mar 15, 2010 · Mount Laurel, Nj

Moves

a registration end followed by a registration begin elsewhere

L•• I••••••••• to B•••••• A••••••• G•••• L••
left Jul 10, 2025, registered Sep 4, 2025 (56 days) · RIA to RIA
M• H••••••• S••••••••• I••• to L•• I•••••••••
left Apr 1, 2024, registered Apr 21, 2023 (-346 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Jul 13, 2018, registered Oct 15, 2010 (-2828 days) · channel change inside one enterprise, not a move
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Jul 13, 2018, registered Oct 15, 2010 (-2828 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Mar 15, 2010, registered Oct 15, 2010 (214 days) · Other

Signals

W•••• B••• A•••• left L•• I••••••••• for B•••••• A••••••• G•••• L•• (registered 2025-09-04)
Jul 10, 2025 · Advisor changed firm · fact
W•••• B••• A•••• left M• H••••••• S••••••••• I••• for L•• I••••••••• (registered 2023-04-21)
Apr 1, 2024 · 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: Independent wealth managerderived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address