DFX Intelligence
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Registered advisor
J•••••• W• G••••
Feed of 09/14/2026
At current firm
16 y
since Sep 9, 2010
In the industry
30 y
since Aug 20, 1996 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Sep 9, 2010 · O'Fallon, Mo
- W••••••• F•••••••• S•••••••• I••• formerJan 5, 2009 to Dec 3, 2009 · Ofallon, Mo
- G•••••• F•••••••• A•••••••• I••• unclassifiedNov 11, 2004 to Oct 11, 2006 · St. Peters, Mo
- F•• S••••••••• C••••••••• formerOct 29, 2004 to Dec 1, 2008 · O'Fallon, Mo
Moves
a registration end followed by a registration begin elsewhere
- W••••••• F•••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 3, 2009, registered Sep 9, 2010 (280 days) · Other
- F•• S••••••••• C••••••••• to G•••••• F•••••••• A•••••••• I•••left Dec 1, 2008, registered Nov 11, 2004 (-1481 days) · Other
- G•••••• F•••••••• A•••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Oct 11, 2006, registered Jan 5, 2009 (817 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