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•••••• E••••• P•••••

S••••••••• A••••••• L••state registeredKey West, FlIA-onlyIAPD 5568856

Certified Financial Planner · Chartered Financial Analyst

Feed of 09/14/2026

Also filed as W•••••• P•••••

At current firm

0 y

since May 14, 2026

In the industry

18 y

since Aug 8, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S••••••••• A••••••• L•• state registered current
since May 14, 2026 · Key West, Fl
H••••••• F•••• asset manager
Jan 23, 2015 to Apr 8, 2026 · Wayne, Pa
H••••••• F•••• asset manager
Apr 1, 2014 to Dec 31, 2014 · Wayne, Pa
A•••••••• F•••• M••••••••• L•• asset manager
Aug 13, 2012 to Jun 28, 2013 · Menomonee Falls, Wi
W•••• F•••• A••••••• wirehouse
Dec 22, 2011 to Aug 13, 2012 · Columbia, Md
C•••• I••••••••• S••••••• C•••• former
Jun 28, 2010 to Oct 3, 2011 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

H••••••• F•••• to S••••••••• A••••••• L••
left Apr 8, 2026, registered May 14, 2026 (36 days) · Other
A•••••••• F•••• M••••••••• L•• to H••••••• F••••
left Jun 28, 2013, registered Apr 1, 2014 (277 days) · Other
W•••• F•••• A••••••• to A•••••••• F•••• M••••••••• L••
left Aug 13, 2012, registered Aug 13, 2012 (0 days) · Other
C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••
left Oct 3, 2011, registered Dec 22, 2011 (80 days) · Other

Signals

W•••••• E••••• P••••• left H••••••• F•••• for S••••••••• A••••••• L•• (registered 2026-05-14)
Apr 8, 2026 · 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: STATE REGISTEREDderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address