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••••••• W• J••••••

L•• F•••••••• L••BD affiliatedSan Diego, Ca dual registrantIAPD 4904349

Feed of 09/15/2026

At current firm

2 y

since Jun 3, 2024

In the industry

21 y

since Jun 7, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

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 Jun 3, 2024 · Swansea, Il
S•••••• N••••••• • C••••••• I••••••••• national BD
Apr 10, 2008 to Jun 21, 2024 · St. Louis, Mo
J••• M••••• S••••••••• I••• unclassified
Feb 5, 2008 to Feb 21, 2008 · Chicago, Il
C•••• I••••••••• S••••••• C•••• former
Jul 6, 2005 to Mar 3, 2008 · Chicago, Il
B••• O•• S••••••••• C••••••••• unclassified
Jun 8, 2005 to Jul 6, 2005 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

S•••••• N••••••• • C••••••• I••••••••• to L•• F•••••••• L••
left Jun 21, 2024, registered Jun 3, 2024 (-18 days) · Affiliated broker-dealer or bank to another · moved with a team
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• I•••
left Mar 3, 2008, registered Feb 5, 2008 (-27 days) · Other
J••• M••••• S••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
left Feb 21, 2008, registered Apr 10, 2008 (49 days) · Other
B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••
left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move

Signals

J••••••• W• J•••••• left S•••••• N••••••• • C••••••• I••••••••• for L•• F•••••••• L•• (registered 2024-06-03)
Jun 21, 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