DFX Intelligence
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Registered advisor
W••••• W••••
Feed of 09/15/2026
Also filed as W••••• B• W••••••••• B• W••••••••• B• W••••••••• B• W•••• J•••••••• W••••
At current firm
2 y
since Jun 3, 2024
In the industry
21 y
since Jan 22, 2005 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
12
current, as an IAR
Firms today
1
current registrations
Exams
S65, S66, 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
- T• P•••••• C••••• W••••• L•• BD affiliated currentsince Jun 3, 2024 · New York, Ny
- C•••••• S••••• • C••• I••• national BDJun 26, 2020 to Jan 11, 2024 · New York City, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 11, 2019 to Jan 2, 2020 · New York, Ny
- M••••• S•••••• wirehouseMar 31, 2014 to Dec 17, 2015 · Columbus, Oh
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to T• P•••••• C••••• W••••• L••left Jan 11, 2024, registered Jun 3, 2024 (144 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left Jan 2, 2020, registered Jun 26, 2020 (176 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 17, 2015, registered Mar 11, 2019 (1180 days) · Wirehouse to wirehouse
Signals
- ••• LockedJan 11, 2024 · 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address