DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

C••••••••• J• W••••••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseSpokane, Wadual registrantIAPD 4156743

Feed of 09/14/2026

Also filed as C••••••••• John W••••••

At current firm

2 y

since Mar 5, 2024

In the industry

24 y

since Dec 22, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
since Mar 5, 2024 · Spokane, Wa
E••••• J•••• national BD
Dec 16, 2020 to Feb 22, 2024 · Spokane, Wa
T• A••••••••• I••• former
Feb 27, 2018 to Dec 17, 2020 · Spokane, Wa
T• A••••••••• I••••••••• M••••••••• L•• former
Feb 26, 2018 to Dec 17, 2020 · Omaha, Ne
S•••••••• I••••••••• M••••••••• former
Jan 27, 2017 to Feb 26, 2018 · Saint Louis, Mo
W•••• F•••• A••••••• wirehouse
Jan 15, 2016 to Aug 10, 2016 · Spokane, Wa
T• A••••••••• I••• former
Aug 31, 2009 to Sep 16, 2015 · Long Beach, Ca
T• A••••••••• I••••••••• M••••••••• L•• former
Aug 31, 2009 to Sep 16, 2015 · Long Beach, Ca

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Feb 22, 2024, registered Mar 5, 2024 (12 days) · Affiliated broker-dealer or bank to wirehouse
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Dec 17, 2020, registered Feb 27, 2018 (-1024 days) · corporate re-registration, not a move
T• A••••••••• I••• to E••••• J••••
left Dec 17, 2020, registered Dec 16, 2020 (-1 days) · Other
S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to S•••••••• I••••••••• M•••••••••
left Aug 10, 2016, registered Jan 27, 2017 (170 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Sep 16, 2015, registered Aug 31, 2009 (-2207 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Sep 16, 2015, registered Aug 31, 2009 (-2207 days) · channel change inside one enterprise, not a move

Signals

C••••••••• J• W•••••• left E••••• J•••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-03-05)
Feb 22, 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: Wirehousederived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address