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

T•••••• R• W•••••••••

S•••••••• A••••••• L••national BDAurora, Ildual registrantIAPD 5602420

Feed of 09/14/2026

Also filed as T•••••• Richard W•••••••••

At current firm

1 y

since Mar 31, 2025

In the industry

17 y

since Jan 16, 2009 (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

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Aurora, Il
F••••••• P••••••• A•• W•••••••• A••••••• former
Aug 6, 2021 to Mar 31, 2025 · Westlake, Tx
E•••••• C•••••• M••••••••• L•• former
Mar 9, 2018 to Jun 10, 2021 · Chicago, Il
W••••• W•••• A•••••••• I•• independent RIA
Dec 5, 2017 to Mar 7, 2018 · Geneva, Il
F•••••••• F•••••••• S•••••••• I••• unclassified
May 10, 2016 to Nov 29, 2017 · Geneva, Il
W••••••• F•••••••• S•••••••• I••• former
Sep 26, 2014 to May 3, 2016 · Warrenville, Il
I••••••••• P••••••••• I••• former
Jul 29, 2013 to Oct 6, 2014 · San Antonio, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 26, 2011 to Jul 30, 2013 · Lisle, Il
W•••••• • R••• former
Apr 13, 2010 to Sep 7, 2011 · Lisle, Il
C•••••••• F•••••••• G•••• A••••••• former
Mar 27, 2009 to Apr 7, 2010 · Elgin, Il

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
E•••••• C•••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jun 10, 2021, registered Aug 6, 2021 (57 days) · RIA to affiliated broker-dealer or bank
W••••• W•••• A•••••••• I•• to E•••••• C•••••• M••••••••• L••
left Mar 7, 2018, registered Mar 9, 2018 (2 days) · Other
F•••••••• F•••••••• S•••••••• I••• to W••••• W•••• A•••••••• I••
left Nov 29, 2017, registered Dec 5, 2017 (6 days) · Other
W••••••• F•••••••• S•••••••• I••• to F•••••••• F•••••••• S•••••••• I•••
left May 3, 2016, registered May 10, 2016 (7 days) · Other
I••••••••• P••••••••• I••• to W••••••• F•••••••• S•••••••• I•••
left Oct 6, 2014, registered Sep 26, 2014 (-10 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••••••• P••••••••• I•••
left Jul 30, 2013, registered Jul 29, 2013 (-1 days) · Other
W•••••• • R••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 7, 2011, registered Aug 26, 2011 (-12 days) · Other
C•••••••• F•••••••• G•••• A••••••• to W•••••• • R•••
left Apr 7, 2010, registered Apr 13, 2010 (6 days) · Other

Signals

No dated event on this person.

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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address