DFX Intelligence
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Registered advisor
M•••••• W•••••• J••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as M•••••• W J••••
At current firm
8 y
since May 11, 2018
In the industry
27 y
since Nov 16, 1998 (earliest exam, job or registration)
Prior registered firms
5
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• G••••• A••••••• I••• independent RIA currentsince May 11, 2018 · Woodland Hills, Ca
- A••••• A•• P••••••• S••••••• BD affiliatedJun 3, 2010 to May 14, 2018 · Pasadena, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedNov 8, 2006 to Jan 6, 2009 · Glendale, Ca
- A••••••• G•••••• F•••••••• A•••••••• I••• unclassifiedDec 10, 2003 to Nov 30, 2006 · Glendale, Ca
- V•••• F•••••••• A•••••••• I••• BD affiliatedNov 20, 2003 to Nov 2, 2006 · Woodland Hills, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 17, 1998 to Nov 25, 2003 · Encino, Ca
Moves
a registration end followed by a registration begin elsewhere
- A••••• A•• P••••••• S••••••• to M••••• G••••• A••••••• I•••left May 14, 2018, registered May 11, 2018 (-3 days) · Affiliated broker-dealer or bank to independent RIA
- U••• B•••••• A•••••••• L•• to A••••• A•• P••••••• S•••••••left Jan 6, 2009, registered Jun 3, 2010 (513 days) · Other
- A••••••• G•••••• F•••••••• A•••••••• I••• to U••• B•••••• A•••••••• L••left Nov 30, 2006, registered Nov 8, 2006 (-22 days) · Other
- V•••• F•••••••• A•••••••• I••• to A••••••• G•••••• F•••••••• A•••••••• I•••left Nov 2, 2006, registered Dec 10, 2003 (-1058 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V•••• F•••••••• A•••••••• I•••left Nov 25, 2003, registered Nov 20, 2003 (-5 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address