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

E••• D•••• D•••••

W••••• E••••••••• A••••••• S•••••••• L••BD affiliatedTampa, Fl dual registrantIAPD 5305549

Feed of 09/14/2026

Also filed as E••• D•••• D•••••

At current firm

2 y

since Nov 2, 2023

In the industry

19 y

since Jun 26, 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

W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated current
since Nov 2, 2023 · Tampa, Fl
J• W• C••• A•••••••• I••• BD affiliated
Jun 30, 2021 to Oct 3, 2023 · Tampa, Fl
L•• F•••••••• L•• BD affiliated
Feb 25, 2021 to Jun 15, 2021 · Fort Mill, Sc
E••••• J•••• national BD
Dec 4, 2018 to Apr 3, 2020 · St Louis, Mo
S•••••• N••••••• • C••••••• I••••••••• national BD
Dec 4, 2012 to Nov 29, 2018 · St. Louis, Mo
P•• W••••• M••••••••• BD affiliated
Feb 27, 2012 to Dec 3, 2012 · St. Louis, Mo
M••••• K••••• • C••••••• L•• former
Mar 24, 2009 to Dec 31, 2010 · Dupo, Il
M•• F•••••••• S•••••••• I••• former
Oct 3, 2008 to Jan 5, 2009 · St. Louis, Mo
A••••••••• F•••••••• S•••••••• L•• national BD
Jun 27, 2007 to Aug 14, 2007 · Chesterfield, Mo

Moves

a registration end followed by a registration begin elsewhere

J• W• C••• A•••••••• I••• to W••••• E••••••••• A••••••• S•••••••• L••
left Oct 3, 2023, registered Nov 2, 2023 (30 days) · Affiliated broker-dealer or bank to independent RIA
L•• F•••••••• L•• to J• W• C••• A•••••••• I•••
left Jun 15, 2021, registered Jun 30, 2021 (15 days) · Affiliated broker-dealer or bank to independent RIA
E••••• J•••• to L•• F•••••••• L••
left Apr 3, 2020, registered Feb 25, 2021 (328 days) · Affiliated broker-dealer or bank to another
S•••••• N••••••• • C••••••• I••••••••• to E••••• J••••
left Nov 29, 2018, registered Dec 4, 2018 (5 days) · Affiliated broker-dealer or bank to another
P•• W••••• M••••••••• to S•••••• N••••••• • C••••••• I•••••••••
left Dec 3, 2012, registered Dec 4, 2012 (1 days) · Other
M••••• K••••• • C••••••• L•• to P•• W••••• M•••••••••
left Dec 31, 2010, registered Feb 27, 2012 (423 days) · Other
M•• F•••••••• S•••••••• I••• to M••••• K••••• • C••••••• L••
left Jan 5, 2009, registered Mar 24, 2009 (78 days) · Other
A••••••••• F•••••••• S•••••••• L•• to M•• F•••••••• S•••••••• I•••
left Aug 14, 2007, registered Oct 3, 2008 (416 days) · Other

Signals

E••• D•••• D••••• left J• W• C••• A•••••••• I••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-11-02)
Oct 3, 2023 · 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