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•••• A••• W••••

L•• F•••••••• L••BD affiliatedCenter City, Ct IA-onlyIAPD 462398

Feed of 09/14/2026

At current firm

0 y

since Apr 14, 2026

In the industry

42 y

since Jun 6, 1984 (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

L•• F•••••••• L•• BD affiliated current
since Apr 14, 2026 · Center City, Ct
C••••••••• F•••••••• N•••••• national BD
Jan 2, 2018 to May 5, 2026 · Pomfret Center, Ct
C••••••••• F•••••••• N•••••• national BD
Oct 6, 2006 to Dec 31, 2017 · Waltham, Ma
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 8, 2006 to Oct 10, 2006 · Pomfret Center, Ct
A•••••• I••• unclassified
May 15, 1990 to Mar 8, 2006 · Pomfret Center, Ct

Moves

a registration end followed by a registration begin elsewhere

C••••••••• F•••••••• N•••••• to L•• F•••••••• L••
left May 5, 2026, registered Apr 14, 2026 (-21 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••••• F•••••••• N••••••
left Oct 10, 2006, registered Oct 6, 2006 (-4 days) · Wirehouse to affiliated broker-dealer or bank
A•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Mar 8, 2006, registered Mar 8, 2006 (0 days) · corporate re-registration, not a move

Signals

J•••• A••• W•••• left C••••••••• F•••••••• N•••••• for L•• F•••••••• L•• (registered 2026-04-14)
May 5, 2026 · 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: 42derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address