DFX Intelligence
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Registered advisor
J••• W••••••• C•••••••
Feed of 09/14/2026
Also filed as J••• W••••••• C•••••••
At current firm
4 y
since Jul 14, 2022
In the industry
45 y
since Jan 21, 1981 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Feb 20, 2024 · Ny, Ny
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Jul 14, 2022 · New York, Ny
- R•• C•••••• M••••••• L•• national BDOct 30, 2002 to Jul 20, 2022 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to R••••••••• C•••••• M•••••••••left Jul 20, 2022, registered Jul 14, 2022 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
Signals
- ••• LockedJul 20, 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
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address