DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
J••• S• W•••
Feed of 09/14/2026
At current firm
2 y
since Jan 19, 2024
In the industry
28 y
since Apr 20, 1998 (earliest exam, job or registration)
Prior registered firms
4
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
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · San Francisco, Ca
- W••••••• F•••••••• S•••••••• I••• formerJun 11, 2013 to Jan 19, 2024 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jun 20, 2013 · San Francisco, Ca
- W•••• F•••• I••••••••• L•• unclassifiedOct 6, 2008 to Jan 3, 2011 · San Francisco, Ca
- W••• I••••••••• I••• unclassifiedApr 13, 2005 to Oct 9, 2008 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to W••••••• F•••••••• S•••••••• I•••left Jun 20, 2013, registered Jun 11, 2013 (-9 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- W••• I••••••••• I••• to W•••• F•••• I••••••••• L••left Oct 9, 2008, registered Oct 6, 2008 (-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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address