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

T••••• J•••• W••••••

C••••••• S••••••••• I•••BD affiliatedWarwick, Ri dual registrantIAPD 4480067

Certified Financial Planner

Feed of 09/14/2026

Also filed as T••••• J W••••••

At current firm

3 y

since Nov 10, 2022

In the industry

24 y

since Jan 18, 2002 (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

C••••••• S••••••••• I••• BD affiliated current
since Nov 10, 2022 · Johnston, Ri
J••• M••••• S••••••••• L•• wirehouse
Feb 26, 2021 to Jul 7, 2022 · East Greenwich, Ri
T• A••••••••• I••••••••• M••••••••• L•• former
Nov 13, 2019 to Dec 31, 2020 · Boston, Ma
T• A••••••••• I••• former
Nov 13, 2019 to Jan 11, 2021 · Boston, Ma
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 18, 2015 to Feb 14, 2019 · Riverside, Ri
S•••••••• A••••••• L•• national BD
May 12, 2003 to Dec 31, 2014 · El Segundo, Ca

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to C••••••• S••••••••• I•••
left Jul 7, 2022, registered Nov 10, 2022 (126 days) · Wirehouse to affiliated broker-dealer or bank
T• A••••••••• I••• to J••• M••••• S••••••••• L••
left Jan 11, 2021, registered Feb 26, 2021 (46 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Dec 31, 2020, registered Nov 13, 2019 (-414 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Feb 14, 2019, registered Nov 13, 2019 (272 days) · Wirehouse to independent RIA · moved with a team
S•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Dec 31, 2014, registered Dec 18, 2015 (352 days) · Affiliated broker-dealer or bank to wirehouse

Signals

T••••• J•••• W•••••• left J••• M••••• S••••••••• L•• for C••••••• S••••••••• I••• (registered 2022-11-10)
Jul 7, 2022 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address