DFX Intelligence
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Registered advisor
A•••••• W• M•••••••
Feed of 09/15/2026
Also filed as A•••••• W•••• M••••••••• M••••••••• W•••• M••••••••• W•••• M•••••••
At current firm
0 y
since Apr 28, 2026
In the industry
25 y
since Jun 11, 2001 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- E••••• J•••• national BD currentsince Apr 28, 2026 · Fairview Heights, Il
- W•••• F•••• A••••••• wirehouseFeb 7, 2023 to Nov 21, 2025 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseFeb 3, 2023 to Nov 20, 2025 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseMar 24, 2017 to Aug 23, 2022 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseNov 7, 2016 to Mar 14, 2017 · St. Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to E••••• J••••left Nov 21, 2025, registered Apr 28, 2026 (158 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Nov 20, 2025, registered Feb 7, 2023 (-1017 days) · channel change inside one enterprise, not a move
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Aug 23, 2022, registered Feb 3, 2023 (164 days) · channel change inside one enterprise, not a move
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Mar 14, 2017, registered Mar 24, 2017 (10 days) · channel change inside one enterprise, not a move
Signals
- ••• LockedNov 21, 2025 · 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address