DFX Intelligence
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Registered advisor
J•••• W••••• C•••••••••
Feed of 09/15/2026
At current firm
4 y
since Apr 26, 2022
In the industry
25 y
since Mar 6, 2001 (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
- U•• F•••••••• S••••••• I••• wirehouse currentsince Apr 26, 2022 · Denver, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 17, 2019 to Apr 27, 2022 · Denver, Co
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jul 23, 2019 · Charlotte, Nc
- W•••• F•••• I••••••••• L•• unclassifiedDec 19, 2003 to Jan 3, 2011 · Denver, Co
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Apr 27, 2022, registered Apr 26, 2022 (-1 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 23, 2019, registered Jul 17, 2019 (-6 days) · Wirehouse to wirehouse
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedApr 27, 2022 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address