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

R•••••• W••• W•••••••

L•• F•••••••• L••BD affiliatedCharlotte, Nc dual registrantIAPD 5249795

Feed of 09/15/2026

Also filed as W••• W•••••••

At current firm

2 y

since Oct 27, 2023

In the industry

19 y

since Jul 13, 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

L•• F•••••••• L•• BD affiliated current
since Oct 27, 2023 · Fort Mill, Sc
C•••••• G•••• • C• I•• former
Sep 16, 2022 to Aug 23, 2023 · Syracuse, Ny
L•• F•••••••• L•• BD affiliated
Sep 2, 2011 to Jul 19, 2022 · Fort Mill, Sc
L•• F•••••••• L•• BD affiliated
Mar 18, 2010 to Apr 14, 2011 · Fort Mill, Sc
S•••••• I••••••••• G••••• L•• former
Mar 31, 2009 to Mar 18, 2010 · Franklin, Pa

Moves

a registration end followed by a registration begin elsewhere

C•••••• G•••• • C• I•• to L•• F•••••••• L••
left Aug 23, 2023, registered Oct 27, 2023 (65 days) · Affiliated broker-dealer or bank to another
L•• F•••••••• L•• to C•••••• G•••• • C• I••
left Jul 19, 2022, registered Sep 16, 2022 (59 days) · RIA to affiliated broker-dealer or bank
S•••••• I••••••••• G••••• L•• to L•• F•••••••• L••
left Mar 18, 2010, registered Mar 18, 2010 (0 days) · Other

Signals

R•••••• W••• W••••••• left C•••••• G•••• • C• I•• for L•• F•••••••• L•• (registered 2023-10-27)
Aug 23, 2023 · Advisor changed firm · fact
R•••••• W••• W••••••• left L•• F•••••••• L•• for C•••••• G•••• • C• I•• (registered 2022-09-16)
Jul 19, 2022 · 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address