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

J•••• W•••••• W•••••

C••••• I••••••••• A••••••• L••BD affiliatedBranson, Modual registrantIAPD 2705199

Feed of 09/14/2026

At current firm

3 y

since Jun 29, 2023

In the industry

30 y

since Jul 31, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• I••••••••• A••••••• L•• BD affiliated current
since Jun 29, 2023 · Branson, Mo
W•••••• • R••• former
Oct 9, 2018 to Apr 7, 2021 · Overland Park, Ks
E•••••••• A•••••••• L•• national BD
May 19, 2006 to Jun 22, 2018 · Overland Park, Ks
F••• A••••••• former
Oct 7, 2004 to Apr 10, 2006 · Bloomington, Il
E•••••••• A•••••••• L•• national BD
Feb 20, 2004 to Oct 4, 2004 · Peoria, Il

Moves

a registration end followed by a registration begin elsewhere

W•••••• • R••• to C••••• I••••••••• A••••••• L••
left Apr 7, 2021, registered Jun 29, 2023 (813 days) · Affiliated broker-dealer or bank to another
E•••••••• A•••••••• L•• to W•••••• • R•••
left Jun 22, 2018, registered Oct 9, 2018 (109 days) · Affiliated broker-dealer or bank to another
F••• A••••••• to E•••••••• A•••••••• L••
left Apr 10, 2006, registered May 19, 2006 (39 days) · Other
E•••••••• A•••••••• L•• to F••• A•••••••
left Oct 4, 2004, registered Oct 7, 2004 (3 days) · Other

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: Broker-dealer affiliated wealth managerderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address