DFX Intelligence
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Registered advisor
J•••• D• W•••
Feed of 09/15/2026
At current firm
6 y
since Dec 11, 2019
In the industry
18 y
since Dec 6, 2007 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
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
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Dec 11, 2019 · Greenwood Village, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 25, 2014 to Dec 2, 2019 · Wellesley Hills, Ma
- S•••••••• A••••••• L•• national BDNov 20, 2012 to May 12, 2014 · Framingham, Ma
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• A••••••• G••••• L••left Dec 2, 2019, registered Dec 11, 2019 (9 days) · Other
- S•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 12, 2014, registered Jun 25, 2014 (44 days) · Affiliated broker-dealer or bank to wirehouse
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
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