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.

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Registered advisor

W••••• A•••

E••••• J••••national BDWaxhaw, Nc dual registrantIAPD 5363319

Certified Financial Planner

Feed of 09/14/2026

Also filed as Wes Alim

At current firm

0 y

since Feb 10, 2026

In the industry

15 y

since Nov 12, 2010 (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

E••••• J•••• national BD current
since Feb 10, 2026 · Waxhaw, Nc
C•••••• L•• independent RIA
Sep 25, 2024 to Oct 6, 2025 · Charlotte, Nc
M••••• S•••••• wirehouse
Apr 19, 2022 to Mar 21, 2024 · Charlotte, Nc
V••••••• A•••••••• I••• BD affiliated
Nov 9, 2020 to Apr 6, 2022 · Charlotte, Nc
C•• A•••• M••••••••• G•••• independent RIA
May 23, 2016 to Jan 2, 2019 · Charlotte, Nc
W•••• F•••• A••••••• wirehouse
Nov 22, 2010 to Jan 29, 2016 · Purchase, Ny

Moves

a registration end followed by a registration begin elsewhere

C•••••• L•• to E••••• J••••
left Oct 6, 2025, registered Feb 10, 2026 (127 days) · RIA to affiliated broker-dealer or bank
M••••• S•••••• to C•••••• L••
left Mar 21, 2024, registered Sep 25, 2024 (188 days) · Wirehouse to independent RIA
V••••••• A•••••••• I••• to M••••• S••••••
left Apr 6, 2022, registered Apr 19, 2022 (13 days) · Affiliated broker-dealer or bank to wirehouse
C•• A•••• M••••••••• G•••• to V••••••• A•••••••• I•••
left Jan 2, 2019, registered Nov 9, 2020 (677 days) · RIA to affiliated broker-dealer or bank
W•••• F•••• A••••••• to C•• A•••• M••••••••• G••••
left Jan 29, 2016, registered May 23, 2016 (115 days) · Other

Signals

W••••• A••• left C•••••• L•• for E••••• J•••• (registered 2026-02-10)
Oct 6, 2025 · Advisor changed firm · fact
W••••• A••• left M••••• S•••••• for C•••••• L•• (registered 2024-09-25)
Mar 21, 2024 · Advisor changed firm · fact
W••••• A••• left V••••••• A•••••••• I••• for M••••• S•••••• (registered 2022-04-19)
Apr 6, 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: National broker-dealer RIAderived
Years in industry: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address