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•••• E••• W•••••

P•••••••• A•••••••national BDSanta Clara, Cadual registrantIAPD 4587494

Feed of 09/14/2026

Also filed as J•••• E••• W•••••

At current firm

2 y

since May 10, 2024

In the industry

24 y

since Mar 1, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

P•••••••• A••••••• national BD current
since May 10, 2024 · Santa Clara, Ca
T••••••••• F•••••••• A•••••••• L•• BD affiliated
Apr 12, 2023 to Mar 14, 2024 · Alviso, Ca
P•••••••• A••••••• national BD
Jan 15, 2022 to Nov 1, 2022 · Santa Clara, Ca
P•••••••• A••••••• national BD
Dec 16, 2020 to Dec 31, 2021 · Santa Clara, Ca
P•••••••• A••••••• national BD
May 17, 2019 to Dec 31, 2019 · Oakland, Ca
T••••••••• F•••••••• A•••••••• L•• BD affiliated
Jun 13, 2018 to Feb 11, 2019 · San Jose, Ca
T••••••••• F•••••••• A•••••••• L•• BD affiliated
Jun 19, 2017 to Dec 31, 2017 · Alviso, Ca
P•••••••• A••••••• national BD
Nov 1, 2016 to May 2, 2017 · Springfield, Va
C•••••••• G••••• M•••••• I••• BD affiliated
Dec 11, 2013 to Nov 13, 2014 · Santa Clara, Ca

Moves

a registration end followed by a registration begin elsewhere

T••••••••• F•••••••• A•••••••• L•• to P•••••••• A•••••••
left Mar 14, 2024, registered May 10, 2024 (57 days) · Affiliated broker-dealer or bank to another
P•••••••• A••••••• to T••••••••• F•••••••• A•••••••• L••
left Nov 1, 2022, registered Apr 12, 2023 (162 days) · Affiliated broker-dealer or bank to another
T••••••••• F•••••••• A•••••••• L•• to P•••••••• A•••••••
left Feb 11, 2019, registered May 17, 2019 (95 days) · Affiliated broker-dealer or bank to another
P•••••••• A••••••• to T••••••••• F•••••••• A•••••••• L••
left May 2, 2017, registered Jun 19, 2017 (48 days) · Other
C•••••••• G••••• M•••••• I••• to P•••••••• A•••••••
left Nov 13, 2014, registered Nov 1, 2016 (719 days) · Other

Signals

J•••• E••• W••••• left T••••••••• F•••••••• A•••••••• L•• for P•••••••• A••••••• (registered 2024-05-10)
Mar 14, 2024 · Advisor changed firm · fact
J•••• E••• W••••• left P•••••••• A••••••• for T••••••••• F•••••••• A•••••••• L•• (registered 2023-04-12)
Nov 1, 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: National broker-dealer RIAderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address