DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
S•••• O• W•••••••••
Feed of 09/14/2026
Also filed as Scott Owen Witherspoon
At current firm
1 y
since Jan 26, 2025
In the industry
29 y
since Jul 29, 1997 (earliest exam, job or registration)
Prior registered firms
6
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
- L•• F•••••••• L•• BD affiliated currentsince Jan 26, 2025 · Poughkeepsie, Ny
- C••• F•••••••• S•••••••• L••• formerSep 23, 2020 to Sep 25, 2022 · Bridgewater, Nj
- L•• F•••••••• L•• BD affiliatedFeb 14, 2018 to Jan 11, 2019 · Basking Ridge, Nj
- I••••• F•••••••• C••••••••• formerMar 27, 2014 to Feb 14, 2018 · Basking Ridge, Nj
- M••••• S•••••• wirehouseDec 10, 2009 to May 2, 2012 · Purchase, Ny
- M••••• S•••••• • C•• L•• unclassifiedJan 29, 2007 to Dec 31, 2010 · Purchase, Ny
- M••••• S•••••• D• I••• unclassifiedAug 13, 2002 to Apr 2, 2007 · Purchase, Ny
Moves
a registration end followed by a registration begin elsewhere
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left Sep 25, 2022, registered Jan 26, 2025 (854 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to C••• F•••••••• S•••••••• L•••left Jan 11, 2019, registered Sep 23, 2020 (621 days) · RIA to affiliated broker-dealer or bank
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 14, 2018, registered Feb 14, 2018 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to I••••• F•••••••• C•••••••••left May 2, 2012, registered Mar 27, 2014 (694 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Dec 31, 2010, registered Dec 10, 2009 (-386 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Jan 29, 2007 (-63 days) · corporate re-registration, not a move
Signals
- S•••• O• W••••••••• left C••• F•••••••• S•••••••• L••• for L•• F•••••••• L•• (registered 2025-01-26)Sep 25, 2022 · 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address