DFX Intelligence
RIA Intelligence
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Registered advisor
W•••••• J•••• D•••••
Feed of 09/14/2026
At current firm
1 y
since Oct 23, 2024
In the industry
30 y
since Mar 7, 1996 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- U•• F•••••••• S••••••• I••• wirehouse currentsince Oct 23, 2024 · Northbrook, Il
- A••••••••• F•••••••• S•••••••• L•• national BDNov 16, 2012 to Oct 25, 2024 · Deerfield, Il
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 20, 2012 · Deerfield, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 21, 2005 to Jun 1, 2009 · Deerfield, Il
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to U•• F•••••••• S••••••• I•••left Oct 25, 2024, registered Oct 23, 2024 (-2 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Nov 20, 2012, registered Nov 16, 2012 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Signals
- W•••••• J•••• D••••• left A••••••••• F•••••••• S•••••••• L•• for U•• F•••••••• S••••••• I••• (registered 2024-10-23)Oct 25, 2024 · 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
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address