DFX Intelligence
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Registered advisor
S••••• J••••• W•••••••
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as S•••• W••••••••• J••••• W•••••••
At current firm
1 y
since Dec 10, 2024
In the industry
27 y
since Aug 12, 1999 (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
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Dec 10, 2024 · Park Ridge, Il
- O•••• W•••••• I••• BD affiliatedJan 19, 2024 to Dec 12, 2024 · Northbrook, Il
- W••••••• F•••••••• S•••••••• I••• formerFeb 22, 2010 to Jan 19, 2024 · Chicago, Il
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Feb 22, 2010 · Chicago, Il
- B••• O•• S••••••••• C••••••••• unclassifiedSep 22, 2003 to Jul 6, 2005 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to C••••• I••••••••• A••••••• L••left Dec 12, 2024, registered Dec 10, 2024 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to W••••••• F•••••••• S•••••••• I•••left Feb 22, 2010, registered Feb 22, 2010 (0 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedDec 12, 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