DFX Intelligence
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Registered advisor
T•••••• W••••••
Feed of 09/14/2026
Also filed as T•••••• J• W••••••••• J••• W••••••••• J••• W••••••
At current firm
2 y
since Jun 4, 2024
In the industry
27 y
since Nov 23, 1998 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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 Jun 4, 2024 · Newport Beach, Ca
- J••• M••••• S••••••••• L•• wirehouseSep 14, 2023 to Jun 5, 2024 · Newport Beach, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerSep 2, 2015 to Jun 6, 2024 · Newport Beach, Ca
- U•• F•••••••• S••••••• I••• wirehouseJan 28, 2009 to Sep 11, 2015 · Newport Beach, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 17, 1998 to Jan 29, 2009 · Newport Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••left Jun 6, 2024, registered Sep 14, 2023 (-266 days) · channel change inside one enterprise, not a move · moved with a team
- J••• M••••• S••••••••• L•• to L•• F•••••••• L••left Jun 5, 2024, registered Jun 4, 2024 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- U•• F•••••••• S••••••• I••• to J••• M••••• P•••••• W••••• A••••••• L••left Sep 11, 2015, registered Sep 2, 2015 (-9 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Jan 29, 2009, registered Jan 28, 2009 (-1 days) · Wirehouse to wirehouse
Signals
- ••• LockedJun 5, 2024 · 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address