DFX Intelligence
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Registered advisor
K•••• J• W•••••••
Feed of 09/15/2026
Also filed as K•••• J•••• W••••••••• J• W•••••••
At current firm
1 y
since Nov 26, 2024
In the industry
20 y
since Jun 26, 2006 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 26, 2024 · Phoenix, Az
- O•••• W•••••• I••• BD affiliatedSep 27, 2021 to Aug 8, 2023 · Tempe, Az
- E•••••••• A•••••••• L•• national BDNov 7, 2018 to Dec 23, 2019 · Scottsdale, Az
- A••••••••• F•••••••• S•••••••• L•• national BDJan 31, 2013 to Oct 29, 2018 · Scottsdale, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 9, 2012 to Jan 8, 2013 · Chandler, Az
- U••• I••••••••• S••••••• C•••••• no RAUMApr 10, 2012 to Jun 1, 2012 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to A••••••••• F•••••••• S•••••••• L••left Aug 8, 2023, registered Nov 26, 2024 (476 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to O•••• W•••••• I•••left Dec 23, 2019, registered Sep 27, 2021 (644 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to E•••••••• A•••••••• L••left Oct 29, 2018, registered Nov 7, 2018 (9 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Jan 8, 2013, registered Jan 31, 2013 (23 days) · Wirehouse to affiliated broker-dealer or bank
- U••• I••••••••• S••••••• C•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 1, 2012, registered Nov 9, 2012 (161 days) · Other
Signals
- ••• LockedAug 8, 2023 · 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address