DFX Intelligence
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Registered advisor
J•••• W• C•••
Feed of 09/15/2026
At current firm
0 y
since Feb 13, 2026
In the industry
18 y
since Sep 19, 2008 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · Danville, Ca
- U••• B•••••• I••••••••• I••• formerJul 23, 2018 to Feb 13, 2026 · Danville, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Mar 16, 2018 · Pinole, Ca
- C•••• I••••••••• S••••••• C•••• formerAug 6, 2010 to Oct 1, 2012 · Hercules, Ca
- W•••• F•••• I••••••••• L•• unclassifiedSep 24, 2009 to Aug 9, 2010 · San Bruno, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerNov 5, 2008 to Apr 7, 2009 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to U••• B•••••• I••••••••• I•••left Mar 16, 2018, registered Jul 23, 2018 (129 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- W•••• F•••• I••••••••• L•• to C•••• I••••••••• S••••••• C••••left Aug 9, 2010, registered Aug 6, 2010 (-3 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to W•••• F•••• I••••••••• L••left Apr 7, 2009, registered Sep 24, 2009 (170 days) · Other
Signals
No dated event on this person.
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address