DFX Intelligence
RIA Intelligence
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Registered advisor
J••• W• F•••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as J••• W• F•••••
At current firm
4 y
since Mar 10, 2022
In the industry
24 y
since Sep 16, 2002 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Mar 10, 2022 · East Greenwich, Ri
- C••••••• S••••••••• I••• BD affiliatedNov 21, 2008 to Mar 2, 2022 · Smithfield, Ri
- L•• F•••••••• L•• BD affiliatedMay 27, 2008 to Dec 1, 2008 · Wakefield, Ri
- I••• S••••••••• I••• unclassifiedOct 21, 2005 to May 27, 2008 · Wakefield, Ri
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Oct 4, 2005 · J•••Ston, Ri
- Q•••• • R•••••• I••• unclassifiedNov 17, 2003 to Oct 20, 2004 · Providence, Ri
- I••• S••••••••• I••• unclassifiedSep 16, 2002 to Nov 14, 2003 · Worcester, Ma
Moves
a registration end followed by a registration begin elsewhere
- C••••••• S••••••••• I••• to L•• F•••••••• L••left Mar 2, 2022, registered Mar 10, 2022 (8 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to C••••••• S••••••••• I•••left Dec 1, 2008, registered Nov 21, 2008 (-10 days) · Other
- I••• S••••••••• I••• to L•• F•••••••• L••left May 27, 2008, registered May 27, 2008 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to I••• S••••••••• I•••left Oct 4, 2005, registered Oct 21, 2005 (17 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- I••• S••••••••• I••• to Q•••• • R•••••• I•••left Nov 14, 2003, registered Nov 17, 2003 (3 days) · Other
Signals
- J••• W• F••••• left C••••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2022-03-10)Mar 2, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address