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.

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Registered advisor

D••••• W•••••

A•••• P•••••••• L••independent RIARockville, Md dual registrantIAPD 6763074

Feed of 09/15/2026

At current firm

1 y

since Jan 6, 2025

In the industry

12 y

since Jan 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

A•••• P•••••••• L•• independent RIA current
since Jan 6, 2025 · Riverview, Fl
M••••• S•••••• wirehouse
Jun 23, 2022 to Feb 9, 2023 · St. Petersburg, Fl
R•••••• J•••• • A••••••••• I••• national BD
Jul 16, 2020 to May 31, 2022 · St. Petersburg, Fl
C•••••• S••••• • C••• I••• national BD
May 28, 2020 to Jul 24, 2020 · Temple Terrace, Fl
U••• I••••••••• S••••••• C•••••• no RAUM
Jul 29, 2019 to May 24, 2020 · Tampa, Fl
M••••• S•••••• wirehouse
Jun 30, 2017 to May 30, 2019 · South Jordan, Ut

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to A•••• P•••••••• L••
left Feb 9, 2023, registered Jan 6, 2025 (697 days) · Wirehouse to independent RIA
R•••••• J•••• • A••••••••• I••• to M••••• S••••••
left May 31, 2022, registered Jun 23, 2022 (23 days) · Affiliated broker-dealer or bank to wirehouse
C•••••• S••••• • C••• I••• to R•••••• J•••• • A••••••••• I•••
left Jul 24, 2020, registered Jul 16, 2020 (-8 days) · Affiliated broker-dealer or bank to another
U••• I••••••••• S••••••• C•••••• to C•••••• S••••• • C••• I•••
left May 24, 2020, registered May 28, 2020 (4 days) · corporate re-registration, not a move
M••••• S•••••• to U••• I••••••••• S••••••• C••••••
left May 30, 2019, registered Jul 29, 2019 (60 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team

Signals

D••••• W••••• left M••••• S•••••• for A•••• P•••••••• L•• (registered 2025-01-06)
Feb 9, 2023 · Advisor changed firm · fact
D••••• W••••• left R•••••• J•••• • A••••••••• I••• for M••••• S•••••• (registered 2022-06-23)
May 31, 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