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

A••••• P••••• L••••

W••••••••• P•••••••independent RIAOmaha, Nedual registrantIAPD 5699415

Feed of 09/14/2026

At current firm

1 y

since Aug 26, 2025

In the industry

17 y

since Sep 10, 2009 (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

W••••••••• P••••••• independent RIA current
since Aug 26, 2025 · Omaha, Ne
O•••• A••••••• S•••••••• L•• BD affiliated
Nov 8, 2024 to Apr 2, 2025 · Scottsdale, Az
O•••• W•••••• I••• BD affiliated
Jun 14, 2024 to Apr 2, 2025 · Scottsdale, Az
A•••• P•••• A••••••• former
Sep 12, 2014 to Nov 8, 2024 · La Vista, Ne
S••••••••• A•••••• A•••••••• I••• former
Apr 16, 2014 to Jun 14, 2024 · La Vista, Ne
T• A••••••••• I••••••••• M••••••••• L•• former
Jul 23, 2012 to Jan 8, 2014 · Boca Raton, Fl
T• A••••••••• I••• former
Jul 23, 2012 to Jan 8, 2014 · Boca Raton, Fl

Moves

a registration end followed by a registration begin elsewhere

O•••• A••••••• S•••••••• L•• to W••••••••• P•••••••
left Apr 2, 2025, registered Aug 26, 2025 (146 days) · Affiliated broker-dealer or bank to independent RIA
O•••• W•••••• I••• to O•••• A••••••• S•••••••• L••
left Apr 2, 2025, registered Nov 8, 2024 (-145 days) · Affiliated broker-dealer or bank to another
A•••• P•••• A••••••• to O•••• W•••••• I•••
left Nov 8, 2024, registered Jun 14, 2024 (-147 days) · channel change inside one enterprise, not a move · moved with a team
S••••••••• A•••••• A•••••••• I••• to A•••• P•••• A•••••••
left Jun 14, 2024, registered Sep 12, 2014 (-3563 days) · channel change inside one enterprise, not a move · moved with a team
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Jan 8, 2014, registered Jul 23, 2012 (-534 days) · channel change inside one enterprise, not a move
T• A••••••••• I••• to S••••••••• A•••••• A•••••••• I•••
left Jan 8, 2014, registered Apr 16, 2014 (98 days) · Other

Signals

A••••• P••••• L•••• left O•••• A••••••• S•••••••• L•• for W••••••••• P••••••• (registered 2025-08-26)
Apr 2, 2025 · Advisor changed firm · fact
A••••• P••••• L•••• left O•••• W•••••• I••• for O•••• A••••••• S•••••••• L•• (registered 2024-11-08)
Apr 2, 2025 · 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: Independent wealth managerderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address