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• L•••

L•• F•••••••• L••BD affiliatedLafayette, Ladual registrantIAPD 1632075

Feed of 09/14/2026

Also filed as J•••• W• L•••

At current firm

1 y

since Oct 30, 2024

In the industry

39 y

since Jun 30, 1987 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Oct 30, 2024 · Lafayette, La
K••••• A••••••• S•••••••• L•• BD affiliated
Jan 31, 2020 to Oct 29, 2024 · Austin, Tx
E••••• J•••• national BD
Jul 18, 2014 to Feb 6, 2020 · West Monroe, La
W•••••• • R••• former
Aug 11, 2008 to Nov 8, 2012 · Clearfield, Ut
N•• E•••••• S••••••••• C••••••••• former
Jul 23, 2008 to Aug 12, 2008 · Sandy, Ut
S••••••• F•••••••• S•••••••• I••• former
Mar 23, 2007 to Apr 29, 2008 · Bellevue, Wa
A•• I••••••••• S•••••••• I••• asset manager
Jun 28, 2006 to Mar 13, 2007 · Shelton, Ct
B••• A•••••••• L•• former
Apr 22, 2005 to Jun 12, 2006 · North Salt Lake City, Ut

Moves

a registration end followed by a registration begin elsewhere

K••••• A••••••• S•••••••• L•• to L•• F•••••••• L••
left Oct 29, 2024, registered Oct 30, 2024 (1 days) · Affiliated broker-dealer or bank to another
E••••• J•••• to K••••• A••••••• S•••••••• L••
left Feb 6, 2020, registered Jan 31, 2020 (-6 days) · Affiliated broker-dealer or bank to another
W•••••• • R••• to E••••• J••••
left Nov 8, 2012, registered Jul 18, 2014 (617 days) · Other
N•• E•••••• S••••••••• C••••••••• to W•••••• • R•••
left Aug 12, 2008, registered Aug 11, 2008 (-1 days) · Other
S••••••• F•••••••• S•••••••• I••• to N•• E•••••• S••••••••• C•••••••••
left Apr 29, 2008, registered Jul 23, 2008 (85 days) · Other
A•• I••••••••• S•••••••• I••• to S••••••• F•••••••• S•••••••• I•••
left Mar 13, 2007, registered Mar 23, 2007 (10 days) · Other
B••• A•••••••• L•• to A•• I••••••••• S•••••••• I•••
left Jun 12, 2006, registered Jun 28, 2006 (16 days) · Other

Signals

J•••• W• L••• left K••••• A••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2024-10-30)
Oct 29, 2024 · 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: 39derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address