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

J••• W•••••• S•••••••

T•••• A•••• M•••••••••asset managerNorthfield, Njdual registrantIAPD 1185203

Feed of 09/14/2026

Also filed as J••• W•••••• S•••••••

At current firm

2 y

since Nov 22, 2023

In the industry

30 y

since Oct 23, 1995 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

T•••• A•••• M••••••••• asset manager current
since Nov 22, 2023 · Northfield, Nj
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Dec 22, 2022 to Apr 17, 2023 · Ipswich, Ma
C••••••• • C••• I••• former
Feb 6, 2018 to Apr 27, 2023 · Malden, Ma
N•••••••• I••• other
Oct 18, 2016 to May 25, 2017 · Ipswich, Ma
D••••••• F••••• I••••••••• M••••••••• L•• former
Aug 25, 2010 to Jul 1, 2015 · Boston, Ma
D••••••• F••••• • C•• unclassified
Jul 15, 2009 to Dec 1, 2010 · Topsfield, Ma
F••••• I••••••••• independent RIA
Apr 24, 2007 to Nov 5, 2007 · Ipswich, Ma
T•••••••• T•••• C••••••• F•• unclassified
Apr 30, 2000 to Nov 3, 2006 · Boston, Ma

Moves

a registration end followed by a registration begin elsewhere

C••••••• • C••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Apr 27, 2023, registered Dec 22, 2022 (-126 days) · Affiliated broker-dealer or bank to another · moved with a team
C•••••••• I••••••••• R••••••• A•••••••• I••• to T•••• A•••• M•••••••••
left Apr 17, 2023, registered Nov 22, 2023 (219 days) · Other
N•••••••• I••• to C••••••• • C••• I•••
left May 25, 2017, registered Feb 6, 2018 (257 days) · Other
D••••••• F••••• I••••••••• M••••••••• L•• to N•••••••• I•••
left Jul 1, 2015, registered Oct 18, 2016 (475 days) · Other
D••••••• F••••• • C•• to D••••••• F••••• I••••••••• M••••••••• L••
left Dec 1, 2010, registered Aug 25, 2010 (-98 days) · Other
F••••• I••••••••• to D••••••• F••••• • C••
left Nov 5, 2007, registered Jul 15, 2009 (618 days) · Other
T•••••••• T•••• C••••••• F•• to F••••• I•••••••••
left Nov 3, 2006, registered Apr 24, 2007 (172 days) · Other

Signals

J••• W•••••• S••••••• left C••••••• • C••• I••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2022-12-22)
Apr 27, 2023 · Advisor changed firm · fact
J••• W•••••• S••••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for T•••• A•••• M••••••••• (registered 2023-11-22)
Apr 17, 2023 · 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: Asset manager (funds and pooled vehicles)derived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address