DFX Intelligence
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Registered advisor
T•••••• W•••••
Feed of 09/14/2026
Also filed as T•••••• J••• W•••••
At current firm
3 y
since Aug 4, 2023
In the industry
23 y
since Aug 4, 2003 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
5
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
- T• P•••••• C••••• W••••• L•• BD affiliated currentsince Aug 4, 2023 · Sarasota, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDJul 7, 2017 to Jul 19, 2023 · Englewood, Fl
- W•••• F•••• A••••••• wirehouseOct 1, 2009 to Jul 13, 2017 · Rotonda West, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJun 20, 2008 to Sep 28, 2009 · Venice, Fl
- I••••• F•••••••• C••••••••• formerAug 10, 2004 to Jun 17, 2008 · Port Charlotte, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 19, 2003 to Aug 3, 2004 · Punta Gorda, Fl
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to T• P•••••• C••••• W••••• L••left Jul 19, 2023, registered Aug 4, 2023 (16 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jul 13, 2017, registered Jul 7, 2017 (-6 days) · Wirehouse to affiliated broker-dealer or bank
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Sep 28, 2009, registered Oct 1, 2009 (3 days) · Other
- I••••• F•••••••• C••••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jun 17, 2008, registered Jun 20, 2008 (3 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••• F•••••••• C•••••••••left Aug 3, 2004, registered Aug 10, 2004 (7 days) · Other
Signals
- ••• LockedJul 19, 2023 · 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address