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

J••••••• W••••• S••••

S••••• W••••• M•••••••••independent RIABirmingham, Al 35203, Al IA-onlyIAPD 4343330

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/15/2026

Also filed as J••••••• Lynn W•••••

At current firm

2 y

since Dec 4, 2023

In the industry

25 y

since Apr 7, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S••••• W••••• M••••••••• independent RIA current
since Dec 4, 2023 · Rockford, Il
L•• F•••••••• L•• BD affiliated
Sep 26, 2013 to Jan 25, 2016 · Birmingham, Al
B••••••••• W••••• M••••••••• former
Aug 15, 2013 to Mar 19, 2024 · Birmingham, Al
O•••• F•• I••• former
Sep 19, 2008 to Aug 17, 2012 · Birmingham, Al

Moves

a registration end followed by a registration begin elsewhere

B••••••••• W••••• M••••••••• to L•• F•••••••• L••
left Mar 19, 2024, registered Sep 26, 2013 (-3827 days) · Other · moved with a team
L•• F•••••••• L•• to S••••• W••••• M•••••••••
left Jan 25, 2016, registered Dec 4, 2023 (2870 days) · Other · moved with a team
O•••• F•• I••• to B••••••••• W••••• M•••••••••
left Aug 17, 2012, registered Aug 15, 2013 (363 days) · Other

Signals

J••••••• W••••• S•••• left B••••••••• W••••• M••••••••• for L•• F•••••••• L•• (registered 2013-09-26)
Mar 19, 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: Independent wealth managerderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address