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

D••••• W••••••

S••••••• I••••••••• A•••••••• I•••otherCorona, Ca dual registrantIAPD 5865262

Feed of 09/15/2026

Also filed as D••••• L W••••••

At current firm

0 y

since Dec 12, 2025

In the industry

15 y

since Jan 28, 2011 (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••••••• I••••••••• A•••••••• I••• other current
since Dec 12, 2025 · Corona, Ca
M••••••••• R••••••••• BD affiliated
Aug 12, 2022 to Mar 11, 2025 · Corona, Ca
V••• F•••••••• P•••••••• L•• former
Feb 7, 2020 to Aug 16, 2022 · New York, Ny
S•••• F••• I••••••••• M••••••••• C•••• asset manager
Oct 10, 2018 to Feb 7, 2019 · West Jordan, Ut
T••••••••• R••••••••• A•••••••• L•• BD affiliated
Dec 2, 2014 to Dec 31, 2016 · North Salt Lake, Ut
S•••••••• A••••••• L•• national BD
Nov 3, 2011 to Nov 26, 2014 · Galt, Ca

Moves

a registration end followed by a registration begin elsewhere

M••••••••• R••••••••• to S••••••• I••••••••• A•••••••• I•••
left Mar 11, 2025, registered Dec 12, 2025 (276 days) · Other
V••• F•••••••• P•••••••• L•• to M••••••••• R•••••••••
left Aug 16, 2022, registered Aug 12, 2022 (-4 days) · Other
S•••• F••• I••••••••• M••••••••• C•••• to V••• F•••••••• P•••••••• L••
left Feb 7, 2019, registered Feb 7, 2020 (365 days) · Other
T••••••••• R••••••••• A•••••••• L•• to S•••• F••• I••••••••• M••••••••• C••••
left Dec 31, 2016, registered Oct 10, 2018 (648 days) · Other
S•••••••• A••••••• L•• to T••••••••• R••••••••• A•••••••• L••
left Nov 26, 2014, registered Dec 2, 2014 (6 days) · Other

Signals

D••••• W•••••• left M••••••••• R••••••••• for S••••••• I••••••••• A•••••••• I••• (registered 2025-12-12)
Mar 11, 2025 · Advisor changed firm · fact
D••••• W•••••• left V••• F•••••••• P•••••••• L•• for M••••••••• R••••••••• (registered 2022-08-12)
Aug 16, 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: Other adviserderived
Years in industry: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address