DFX Intelligence
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Registered advisor
H••••• W•••••• J••••
Feed of 09/14/2026
Also filed as C••• J••••••••• W•••••• J••••••••• W•••••• J••••••••• J••••••••• W•••••• J••••••••• W• J••••
At current firm
4 y
since Apr 21, 2022
In the industry
26 y
since Aug 5, 2000 (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
- J••• M••••• S••••••••• L•• wirehouse currentsince Apr 21, 2022 · Tempe, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 15, 2011 to Apr 6, 2022 · Chandler, Az
- C•••• I••••••••• S••••••• C•••• formerNov 22, 2010 to Oct 21, 2011 · Scottsdale, Az
- U••• F•••••••• P••••••• S••••••• formerDec 11, 2008 to Aug 25, 2009 · Phoenix, Az
- U••• I••••••••• S••••••• C•••••• no RAUMSep 13, 2007 to Dec 31, 2008 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Apr 6, 2022, registered Apr 21, 2022 (15 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 21, 2011, registered Nov 15, 2011 (25 days) · Other
- U••• F•••••••• P••••••• S••••••• to C•••• I••••••••• S••••••• C••••left Aug 25, 2009, registered Nov 22, 2010 (454 days) · Other
- U••• I••••••••• S••••••• C•••••• to U••• F•••••••• P••••••• S•••••••left Dec 31, 2008, registered Dec 11, 2008 (-20 days) · corporate re-registration, not a move
Signals
- ••• LockedApr 6, 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address