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

N••• P•••

S••••• W••••• A•••••••independent RIALouisville, KyIA-onlyIAPD 6452602

Certified Financial Planner

Feed of 09/14/2026

Also filed as N••• William P•••

At current firm

4 y

since Jun 15, 2022

In the industry

12 y

since Jun 1, 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

S••••• W••••• A••••••• independent RIA current
since Jun 15, 2022 · Louisville, Ky
F•••• independent RIA
Mar 30, 2021 to May 6, 2022 · West Palm Beach, Fl
K•• A••••••• S••••••• L•• independent RIA
Dec 17, 2020 to Jan 29, 2021 · Louisville, Ky
L•• F•••••••• L•• BD affiliated
Dec 7, 2020 to Dec 7, 2020 · Louisville, Ky
R••••• W• B•••• • C•• I••••••••• mixed wealth
Oct 18, 2019 to Dec 8, 2020 · Louisville, Ky
J••••• H•••••••• W••• L••••• L•• former
Oct 3, 2016 to Oct 18, 2019 · Louisville, Ky

Moves

a registration end followed by a registration begin elsewhere

F•••• to S••••• W••••• A•••••••
left May 6, 2022, registered Jun 15, 2022 (40 days) · RIA to RIA
K•• A••••••• S••••••• L•• to F••••
left Jan 29, 2021, registered Mar 30, 2021 (60 days) · RIA to RIA
R••••• W• B•••• • C•• I••••••••• to L•• F•••••••• L••
left Dec 8, 2020, registered Dec 7, 2020 (-1 days) · RIA to affiliated broker-dealer or bank
L•• F•••••••• L•• to K•• A••••••• S••••••• L••
left Dec 7, 2020, registered Dec 17, 2020 (10 days) · Affiliated broker-dealer or bank to independent RIA
J••••• H•••••••• W••• L••••• L•• to R••••• W• B•••• • C•• I•••••••••
left Oct 18, 2019, registered Oct 18, 2019 (0 days) · corporate re-registration, not a move

Signals

N••• P••• left Facet for S••••• W••••• A••••••• (registered 2022-06-15)
May 6, 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: Independent wealth managerderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address