DFX Intelligence
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Registered advisor
J•••• P•••••• W•••••
Feed of 09/14/2026
Also filed as J•••• P• W••••••••• W••••••••• P•••••• W•••••
At current firm
7 y
since Jul 9, 2019
In the industry
19 y
since Feb 16, 2007 (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
S63, 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
- V••••••• A•••••••• I••• BD affiliated currentsince Jul 9, 2019 · Charlotte, Nc
- A••••• A•• P••••••• S••••••• BD affiliatedAug 1, 2017 to May 28, 2019 · Cincinnati, Oh
- P•• W••••• M••••••••• BD affiliatedFeb 24, 2014 to May 8, 2017 · Cincinnati, Oh
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 17, 2008 to Feb 3, 2014 · Cincinnati, Oh
- T• A••••••••• I••• formerOct 17, 2008 to Feb 3, 2014 · Cincinnati, Oh
- S•••••••• A••••••• L•• national BDDec 11, 2007 to Oct 9, 2008 · Blue Ash, Oh
Moves
a registration end followed by a registration begin elsewhere
- A••••• A•• P••••••• S••••••• to V••••••• A•••••••• I•••left May 28, 2019, registered Jul 9, 2019 (42 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to A••••• A•• P••••••• S•••••••left May 8, 2017, registered Aug 1, 2017 (85 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 3, 2014, registered Oct 17, 2008 (-1935 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Feb 3, 2014, registered Oct 17, 2008 (-1935 days) · channel change inside one enterprise, not a move
- S•••••••• A••••••• L•• to T• A••••••••• I•••left Oct 9, 2008, registered Oct 17, 2008 (8 days) · Affiliated broker-dealer or bank to a newly registered adviser
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address