DFX Intelligence
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Registered advisor
J•••• S• W•••••••
Feed of 09/14/2026
Also filed as J•••• L••• S••••••••• L••• G•••••• S••••••••• S• W••••••••• L• S••••••••• L••• W•••••••
At current firm
3 y
since Jul 5, 2023
In the industry
28 y
since Feb 7, 1998 (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
S65, 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
- W•••• F•••• A••••••• wirehouse currentsince Jul 5, 2023 · Hilton Head Island, Sc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 24, 2011 to Jul 6, 2023 · Hilton Head Island, Sc
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 1, 2011 · Hilton Head Island, Sc
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 24, 2001 to Jun 1, 2009 · Hilton Head, Sc
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jul 6, 2023, registered Jul 5, 2023 (-1 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 1, 2011, registered Jan 24, 2011 (-8 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedJul 6, 2023 · 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address