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••• F•••••• D••••

K•••••••• W••••• A•••••••• L••BD affiliatedSan Diego, Ca dual registrantIAPD 1240315

Feed of 09/15/2026

At current firm

0 y

since Oct 16, 2025

In the industry

42 y

since Feb 28, 1984 (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

K•••••••• W••••• A•••••••• L•• BD affiliated current
since Oct 16, 2025 · San Diego, Ca
A•••• I••••••••• G•••• independent RIA
Nov 9, 2022 to Oct 17, 2025 · Mahwah, Nj
C••••••• • C••• I••• former
Aug 15, 2018 to Nov 3, 2022 · Mahwah, Nj
E••••• J•••• national BD
May 4, 2010 to May 30, 2018 · Upper Saddle River, Nj
W••••• S••••• S••••••••• I••• former
Apr 8, 2010 to Apr 14, 2010 · Mahwah, Nj
L•• F•••••••• L•• BD affiliated
Mar 20, 2009 to Jan 19, 2010 · Woodcliff Lake, Nj
C•••••••• G••••• M•••••• I••• BD affiliated
Feb 5, 2008 to Apr 8, 2009 · Ridgewood, Nj

Moves

a registration end followed by a registration begin elsewhere

A•••• I••••••••• G•••• to K•••••••• W••••• A•••••••• L••
left Oct 17, 2025, registered Oct 16, 2025 (-1 days) · RIA to affiliated broker-dealer or bank
C••••••• • C••• I••• to A•••• I••••••••• G••••
left Nov 3, 2022, registered Nov 9, 2022 (6 days) · Affiliated broker-dealer or bank to independent RIA
E••••• J•••• to C••••••• • C••• I•••
left May 30, 2018, registered Aug 15, 2018 (77 days) · Affiliated broker-dealer or bank to another
W••••• S••••• S••••••••• I••• to E••••• J••••
left Apr 14, 2010, registered May 4, 2010 (20 days) · Other
L•• F•••••••• L•• to W••••• S••••• S••••••••• I•••
left Jan 19, 2010, registered Apr 8, 2010 (79 days) · Other
C•••••••• G••••• M•••••• I••• to L•• F•••••••• L••
left Apr 8, 2009, registered Mar 20, 2009 (-19 days) · Other

Signals

J••• F•••••• D•••• left A•••• I••••••••• G•••• for K•••••••• W••••• A•••••••• L•• (registered 2025-10-16)
Oct 17, 2025 · Advisor changed firm · fact
J••• F•••••• D•••• left C••••••• • C••• I••• for A•••• I••••••••• G•••• (registered 2022-11-09)
Nov 3, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 42derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address