DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
T••••• W•••••••• Q•••••
Feed of 09/14/2026
Also filed as T••••• W•••••••• Q•••••
At current firm
3 y
since May 12, 2023
In the industry
22 y
since Oct 13, 2003 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 12, 2023 · Redwood City, Ca
- E••••• J•••• national BDOct 16, 2015 to May 16, 2023 · Redwood City, Ca
- B•••••••• F••• A••••••• asset managerSep 8, 2009 to Dec 13, 2011 · San Francisco, Ca
- A••••••••• L••• otherOct 13, 2003 to Jul 28, 2008 · Nashville, Tn
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to A••••••••• F•••••••• S•••••••• L••left May 16, 2023, registered May 12, 2023 (-4 days) · Affiliated broker-dealer or bank to another
- B•••••••• F••• A••••••• to E••••• J••••left Dec 13, 2011, registered Oct 16, 2015 (1403 days) · Other
- A••••••••• L••• to B•••••••• F••• A•••••••left Jul 28, 2008, registered Sep 8, 2009 (407 days) · Other
Signals
- T••••• W•••••••• Q••••• left E••••• J•••• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-05-12)May 16, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address