DFX Intelligence

RIA Intelligence

Part of this page could not be read just now: who else to call. Those sections are not empty, they were not read. This is a fault on our side, not an answer about this record; reload the page to try again.

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.

J•• W•••

Registered advisorat C••••••••• F•••••••• N••••••IA-only· Whitesburg, Tn IAPD 2526040

Certified Financial Planner · Chartered Financial Consultant

At current firm
22 y
since Jul 7, 2004
In the industry
32 y
Prior registered firms
1
Signals
0
As of · the IAPD feed
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Recruiter brief
facts first, then what DFX measured about them; never a statement of intent
  • ••• Locked
Recruiting value
  • Practice attractivenesssome
    designations Certified Financial Planner, Chartered Financial Consultant; 31.2 years in the industry
  • Team depthnone
    0 of the 0 people who once moved firms with this advisor are registered here now (a team seen in registrations; web team pages are not used until they pass review).
  • Entrepreneurial profilenone
    Details are shown to subscribers.
  • Real estate activitynone
    Details are shown to subscribers.
  • Contactabilityweak
    no contact route found
Movement evidence
  • Movement signalsome
    One dated reason measured to go with moving: This office went from 21 to 12 registered advisors over the last year, with 10 leaving for other firms (latest 2026-04-09) (2.1x the base rate).
  • Recent change activitysome
    Details are shown to subscribers.
  • Independence preparationnone
    No concrete evidence of preparation for independence.
  • Historical mobilitysome
    2 prior firms, median stay 9.9 years.
Career
  • 32.1 years in the industry
  • 22.2 years at the current firm
  • 2 prior registered firms; median stay 9.9 years
  • weak retention associationfifteen or more years at the current firmAt Commonwealth, 8.3% with this moved within a year, against 10.5% without it (0.79x, 2023 to 2025 cohorts).
  • weak retention associationthirty or more years in the industryAt Commonwealth, 8.3% with this moved within a year, against 10.7% without it (0.78x, 2023 to 2025 cohorts).
Source: SEC IAPD per-person record
Licensing and credentials
  • Registered in 3 states (firm median 1)
  • Exams: SIE, Series 24, Series 53, Series 63, Series 65, Series 7
  • Supervisory exams: Series 24, Series 53
  • Designations: Certified Financial Planner, Chartered Financial Consultant
  • Registered as a broker as well as an adviser
Source: IAPD individual feed and the per-person IAPD record
Around this advisor
  • 1 of about 13 in the office left in the last 180 days
  • 10 known colleagues changed firms in the last year
  • 1 went to an independent RIA in the last 180 days
Regulatory record

Shown to subscribers, with the official record linked.

Registration history
IAPD current and previous registrations
Moves
a registration end followed by a registration begin elsewhere
Signals
No dated event on this person.
Transition signals

Mobility scoring is not published yet.

Provenance
Source
IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class
National broker-dealer RIAderived
Years in industry
32derivedfrom the earliest dated exam, employment or registration
Not published
disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote