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

R•••••• W•••• C••••

O•••• W•••••• I•••BD affiliatedScottsdale, Azdual registrantIAPD 6274457

Feed of 09/14/2026

Also filed as R•••••• W•••• C••••

At current firm

7 y

since Nov 2, 2018

In the industry

12 y

since Jul 3, 2014 (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

O•••• W•••••• I••• BD affiliated current
since Nov 2, 2018 · Scottsdale, Az
S•••••••• F••••••••• I••• former
Nov 6, 2018 to Sep 1, 2023 · Scottsdale, Az
W••••••• F•••••••• S•••••••• I••• former
Nov 6, 2018 to Jan 19, 2024 · Oakdale, Mn
F•• S••••••••• C••••••••• former
Nov 6, 2018 to Nov 3, 2023 · Atlanta, Ga
S••••••• I••••••••• I••• former
Apr 20, 2016 to Nov 2, 2018 · Portsmouth, Nh
O•••• F•• I••• former
Jul 8, 2014 to Apr 8, 2016 · Concord, Nh

Moves

a registration end followed by a registration begin elsewhere

W••••••• F•••••••• S•••••••• I••• to no registered destination
left Jan 19, 2024 · Departure, no registered destination
F•• S••••••••• C••••••••• to W••••••• F•••••••• S•••••••• I•••
left Nov 3, 2023, registered Nov 6, 2018 (-1823 days) · channel change inside one enterprise, not a move · moved with a team
S•••••••• F••••••••• I••• to F•• S••••••••• C•••••••••
left Sep 1, 2023, registered Nov 6, 2018 (-1760 days) · channel change inside one enterprise, not a move · moved with a team
S••••••• I••••••••• I••• to O•••• W•••••• I•••
left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
O•••• F•• I••• to S••••••• I••••••••• I•••
left Apr 8, 2016, registered Apr 20, 2016 (12 days) · Other · moved with a team

Signals

R•••••• W•••• C•••• no longer registered at W••••••• F•••••••• S•••••••• I•••; no later IA registration on IAPD
Jan 19, 2024 · Advisor departure · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address