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••••• W•••••

A••••••••• F•••••••• S•••••••• L••national BDAlcoa, Tn dual registrantIAPD 5752644

Feed of 09/15/2026

At current firm

1 y

since Oct 8, 2024

In the industry

14 y

since Dec 29, 2011 (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

A••••••••• F•••••••• S•••••••• L•• national BD current
since Oct 8, 2024 · Winter Park, Fl
A••••••••• F•••••••• S•••••••• L•• national BD
Sep 6, 2023 to Nov 20, 2023 · West Chester, Oh
H••••• I••••••••• M••••••••• L•• independent RIA
Aug 29, 2022 to Jul 19, 2023 · Cincinnati, Oh
A••••••••• F•••••••• S•••••••• L•• national BD
Jun 16, 2021 to Aug 2, 2022 · Cincinnati, Oh
S••••••• F•••••••• S•••••••• I••• former
May 10, 2019 to Apr 6, 2020 · Ft. Wright, Ky
E••••• J•••• national BD
Apr 24, 2015 to Feb 9, 2018 · Hamilton, Oh
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Feb 18, 2015 · Eaton, Oh
C•••• I••••••••• S••••••• C•••• former
Jan 3, 2012 to Oct 1, 2012 · Oxford, Oh

Moves

a registration end followed by a registration begin elsewhere

H••••• I••••••••• M••••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Jul 19, 2023, registered Sep 6, 2023 (49 days) · RIA to affiliated broker-dealer or bank
A••••••••• F•••••••• S•••••••• L•• to H••••• I••••••••• M••••••••• L••
left Aug 2, 2022, registered Aug 29, 2022 (27 days) · Affiliated broker-dealer or bank to independent RIA
S••••••• F•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Apr 6, 2020, registered Jun 16, 2021 (436 days) · Affiliated broker-dealer or bank to another
E••••• J•••• to S••••••• F•••••••• S•••••••• I•••
left Feb 9, 2018, registered May 10, 2019 (455 days) · Affiliated broker-dealer or bank to another
J••• M••••• S••••••••• L•• to E••••• J••••
left Feb 18, 2015, registered Apr 24, 2015 (65 days) · Wirehouse to affiliated broker-dealer or bank
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move

Signals

A••••• W••••• left H••••• I••••••••• M••••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-09-06)
Jul 19, 2023 · Advisor changed firm · fact
A••••• W••••• left A••••••••• F•••••••• S•••••••• L•• for H••••• I••••••••• M••••••••• L•• (registered 2022-08-29)
Aug 2, 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address