DFX Intelligence
RIA Intelligence
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Registered advisor
D•••• J••• P••••
Feed of 09/14/2026
At current firm
9 y
since Mar 31, 2017
In the industry
44 y
since Apr 29, 1982 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince Mar 31, 2017 · Lake Oswego, Or
- R••••• W• B•••• • C•• I••••••••• mixed wealthApr 9, 2010 to Mar 10, 2017 · Portland, Or
- M••••• S•••••• wirehouseJun 1, 2009 to May 7, 2010 · Portland, Or
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 21, 1994 to Jun 1, 2009 · San Jose, Ca
Moves
a registration end followed by a registration begin elsewhere
- R••••• W• B•••• • C•• I••••••••• to R•••••• J•••• • A••••••••• I•••left Mar 10, 2017, registered Mar 31, 2017 (21 days) · Other
- M••••• S•••••• to R••••• W• B•••• • C•• I•••••••••left May 7, 2010, registered Apr 9, 2010 (-28 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- National broker-dealer RIAderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address