DFX Intelligence
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J•• A•••• W••••••
As of · the IAPD feed; also filed as J•• H••••••••• A• W••••••
- In the industry
- 30 y
- Prior registered firms
- 1
- Signals
- 1
As of · the IAPD feed; also filed as J•• H••••••••• A• W••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66, S65
IA exams only
Registration history
IAPD current and previous registrations
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Sep 22, 2026 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedApr 28, 2025 to Jul 24, 2026 · Old Lyme, Ct
Moves
a registration end followed by a registration begin elsewhere
- H••• S••••••••• •••• I••• to T••••• A••••••• S•••••••• I•••left Jul 24, 2026, registered Sep 22, 2026 (60 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedSep 22, 2026 · Advisor registered · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
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