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•••••• C••••••

C••••••••• F•••••••• N••••••national BDBloomington, Mn dual registrantIAPD 1244813

Chartered Financial Consultant

Feed of 09/14/2026

Also filed as J••• W C••••••

At current firm

4 y

since Sep 7, 2022

In the industry

42 y

since Apr 6, 1984 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••••• F•••••••• N•••••• national BD current
since Sep 7, 2022 · Bloomington, Mn
C•••••••• F••••••••• I••• BD affiliated
Jun 10, 2021 to Jul 20, 2022 · Spakopee, Mn
Q•••••• A•••• M••••••••• I••• former
Mar 19, 2015 to May 2, 2019 · Minneapolis, Mn
A••••••••• I••••••••• S•••••••• I••• independent RIA
Aug 30, 2011 to Feb 19, 2015 · Green Bay, Wi
S••••••• F•••••••• S•••••••• I••• former
Sep 17, 2009 to Jul 5, 2011 · St Paul, Mn

Moves

a registration end followed by a registration begin elsewhere

C•••••••• F••••••••• I••• to C••••••••• F•••••••• N••••••
left Jul 20, 2022, registered Sep 7, 2022 (49 days) · Affiliated broker-dealer or bank to another
Q•••••• A•••• M••••••••• I••• to C•••••••• F••••••••• I•••
left May 2, 2019, registered Jun 10, 2021 (770 days) · Affiliated broker-dealer or bank to another
A••••••••• I••••••••• S•••••••• I••• to Q•••••• A•••• M••••••••• I•••
left Feb 19, 2015, registered Mar 19, 2015 (28 days) · Other
S••••••• F•••••••• S•••••••• I••• to A••••••••• I••••••••• S•••••••• I•••
left Jul 5, 2011, registered Aug 30, 2011 (56 days) · Other

Signals

J••• W•••••• C•••••• left C•••••••• F••••••••• I••• for C••••••••• F•••••••• N•••••• (registered 2022-09-07)
Jul 20, 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: National broker-dealer RIAderived
Years in industry: 42derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address