DFX Intelligence
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Registered advisor
W••••• R••••• M•••••••
Feed of 09/14/2026
At current firm
21 y
since Jul 21, 2005
In the industry
26 y
since Jun 1, 2000 (earliest exam, job or registration)
Prior registered firms
1
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•• I•••••••• S•••••••• L•• BD affiliated currentsince Jul 21, 2005 · Springfield, Ma
- W• G••••••• S••••••••• I••• unclassifiedMar 25, 2003 to Jan 6, 2004 · Hartford, Ct
Moves
a registration end followed by a registration begin elsewhere
- W• G••••••• S••••••••• I••• to M•• I•••••••• S•••••••• L••left Jan 6, 2004, registered Jul 21, 2005 (562 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address