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

F•••• W•••••• E••••••

R•••••• J•••• • A••••••••• I•••national BDBeverly Hills, Ca dual registrantIAPD 2009217

Feed of 09/15/2026

Also filed as F•••• W E••••••

At current firm

1 y

since Dec 4, 2024

In the industry

36 y

since Jan 19, 1990 (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

R•••••• J•••• • A••••••••• I••• national BD current
since Dec 4, 2024 · Beverly Hills, Ca
W•••••• S••••••••• I••• BD affiliated
Nov 5, 2019 to Dec 15, 2024 · Los Angeles, Ca
J••• M••••• S••••••••• L•• wirehouse
Mar 12, 2015 to Nov 26, 2018 · Santa Barbara, Ca
H•••••••• A•••••••• L•• BD affiliated
May 21, 2013 to Feb 25, 2015 · Los Angeles, Ca
M••••• S•••••• wirehouse
Jun 1, 2009 to May 29, 2013 · Pasadena, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Oct 31, 2000 to Jun 1, 2009 · Pasadena, Ca

Moves

a registration end followed by a registration begin elsewhere

W•••••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••
left Dec 15, 2024, registered Dec 4, 2024 (-11 days) · Affiliated broker-dealer or bank to another
J••• M••••• S••••••••• L•• to W•••••• S••••••••• I•••
left Nov 26, 2018, registered Nov 5, 2019 (344 days) · Wirehouse to affiliated broker-dealer or bank
H•••••••• A•••••••• L•• to J••• M••••• S••••••••• L••
left Feb 25, 2015, registered Mar 12, 2015 (15 days) · Other
M••••• S•••••• to H•••••••• A•••••••• L••
left May 29, 2013, registered May 21, 2013 (-8 days) · Other
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

Signals

F•••• W•••••• E•••••• left W•••••• S••••••••• I••• for R•••••• J•••• • A••••••••• I••• (registered 2024-12-04)
Dec 15, 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: National broker-dealer RIAderived
Years in industry: 36derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address