DFX Intelligence
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Registered advisor
J••••• B••• W••••
Feed of 09/14/2026
Also filed as J••••• B••• W••••••••• B• W••••••••• W••••
At current firm
3 y
since Oct 19, 2022
In the industry
18 y
since Feb 22, 2008 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
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••••••• L•• national BD currentsince Oct 19, 2022 · Albuquerque, Nm
- U•• F•••••••• S••••••• I••• wirehouseMay 13, 2013 to Oct 26, 2022 · Albuquerque, Nm
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Nov 15, 2012 · Denver, Co
- C•••• I••••••••• S••••••• C•••• formerNov 19, 2009 to Oct 1, 2012 · Denver, Co
- W•••••• • R••• formerAug 13, 2009 to Nov 9, 2009 · Denver, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 30, 2008 to Feb 13, 2009 · Farmington, Nm
- W•••• F•••• I••••••••• L•• unclassifiedFeb 28, 2008 to Oct 27, 2008 · Farmington, Nm
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left Oct 26, 2022, registered Oct 19, 2022 (-7 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- J••• M••••• S••••••••• L•• to U•• F•••••••• S••••••• I•••left Nov 15, 2012, registered May 13, 2013 (179 days) · Wirehouse to wirehouse
- 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•••••• • R••• to C•••• I••••••••• S••••••• C••••left Nov 9, 2009, registered Nov 19, 2009 (10 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••••• • R•••left Feb 13, 2009, registered Aug 13, 2009 (181 days) · Other
- W•••• F•••• I••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 27, 2008, registered Oct 30, 2008 (3 days) · Other
Signals
- ••• LockedOct 26, 2022 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address