DFX Intelligence
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Registered advisor
W•••• M•••••••
Feed of 09/14/2026
Also filed as C•••• W•••• M••••••••• W•••• M••••••••• W•••• M••••••••• M••••••••• W•••• M•••••••
At current firm
5 y
since Dec 7, 2020
In the industry
28 y
since Apr 2, 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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Dec 7, 2020 · Sarasota, Fl
- W•••• F•••• A••••••• wirehouseFeb 13, 2009 to Dec 4, 2020 · Sarasota, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 14, 2004 to Feb 2, 2009 · Sarasota, Fl
- R••••• W• B•••• • C•• I••••••••• mixed wealthJan 15, 2003 to Jun 17, 2004 · Sarasota, Fl
- R•••••• J•••• • A••••••••• I••• national BDOct 30, 1998 to Jan 6, 2003 · Sarasota, Fl
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Dec 4, 2020, registered Dec 7, 2020 (3 days) · channel change inside one enterprise, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Feb 2, 2009, registered Feb 13, 2009 (11 days) · Wirehouse to wirehouse
- R••••• W• B•••• • C•• I••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 17, 2004, registered Jul 14, 2004 (27 days) · Other
- R•••••• J•••• • A••••••••• I••• to R••••• W• B•••• • C•• I•••••••••left Jan 6, 2003, registered Jan 15, 2003 (9 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address