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

C••• D••••• W••••••

L•• W••••• P•••••••• L••independent RIAElizabethtown, KyIA-onlyIAPD 6663418

Certified Financial Planner

Feed of 09/14/2026

Also filed as C••• D W••••••

At current firm

2 y

since Jun 27, 2024

In the industry

17 y

since Apr 1, 2009 (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

L•• W••••• P•••••••• L•• independent RIA current
since Jun 27, 2024 · Elizabethtown, Ky
L•• W••••• P•••••••• L•• independent RIA
Jun 13, 2024 to Jun 26, 2024 · Elizabethtown, Ky
A• W••••• M••••••••• L•• BD affiliated
May 12, 2022 to Sep 20, 2024 · Louisville, Ky
F•••• independent RIA
Aug 28, 2020 to Nov 5, 2021 · Louisville, Ky
R••••• W• B•••• • C•• I••••••••• mixed wealth
Oct 18, 2019 to Aug 28, 2020 · Louisville, Ky
J••••• H•••••••• W••• L••••• L•• former
Jul 3, 2017 to Oct 18, 2019 · Louisville, Ky

Moves

a registration end followed by a registration begin elsewhere

A• W••••• M••••••••• L•• to L•• W••••• P•••••••• L••
left Sep 20, 2024, registered Jun 13, 2024 (-99 days) · RIA to a newly registered adviser · moved with a team
F•••• to A• W••••• M••••••••• L••
left Nov 5, 2021, registered May 12, 2022 (188 days) · RIA to affiliated broker-dealer or bank
R••••• W• B•••• • C•• I••••••••• to F••••
left Aug 28, 2020, registered Aug 28, 2020 (0 days) · RIA to 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

C••• D••••• W•••••• left A• W••••• M••••••••• L•• for L•• W••••• P•••••••• L•• (registered 2024-06-13)
Sep 20, 2024 · 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