DFX Intelligence
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Registered advisor
W•••••• J••••• J•••••••
Feed of 09/14/2026
Also filed as B••• J••••••••• J••••• J••••••••• J• J•••••••
At current firm
2 y
since Dec 11, 2023
In the industry
40 y
since Sep 27, 1985 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Dec 11, 2023 · Frankfort, Il
- P•••• S••••••••• L•• no RAUMJun 22, 2021 to Nov 15, 2022 · Naperville, Il
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to E•••••• A••••••• G••••• L••left Nov 15, 2022, registered Dec 11, 2023 (391 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedNov 15, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address