DFX Intelligence
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Registered advisor
J•••••• D•••• W••••••
Feed of 09/14/2026
Also filed as J••••• D•••• W••••••••• D•••• W••••••
At current firm
3 y
since Jun 1, 2023
In the industry
33 y
since Apr 30, 1993 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• A•••• M••••••••• L•• independent RIA currentsince Jun 1, 2023 · Ventura, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to May 13, 2015 · Oxnard, Ca
- M••••• S•••••• • C•• L•• unclassifiedDec 19, 2008 to Jun 1, 2009 · Oxnard, Ca
- U•• F•••••••• S••••••• I••• wirehouseOct 4, 2004 to Dec 26, 2008 · Oxnard, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 8, 1997 to Oct 5, 2004 · Woodland Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to C•••••• A•••• M••••••••• L••left May 13, 2015, registered Jun 1, 2023 (2941 days) · Wirehouse to independent RIA
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• S•••••• • C•• L••left Dec 26, 2008, registered Dec 19, 2008 (-7 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Oct 5, 2004, registered Oct 4, 2004 (-1 days) · Wirehouse to wirehouse
Signals
No dated event on this person.
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
- Independent wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address