DFX Intelligence
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Registered advisor
T••• W•••
Feed of 09/14/2026
Also filed as T•• X••• T•••••• T•
At current firm
1 y
since Mar 31, 2025
In the industry
17 y
since Dec 5, 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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · San Jose, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDFeb 1, 2016 to Jul 13, 2018 · Campbell, Ca
- C•••••• S••••• • C••• I••• national BDAug 15, 2011 to Dec 23, 2015 · Cupertino, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerJul 13, 2010 to Aug 3, 2011 · Morgan Hill, Ca
- E••••• J•••• national BDDec 8, 2008 to Oct 27, 2009 · Cupertino, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to S•••••••• A••••••• L••left Dec 23, 2015, registered Feb 1, 2016 (40 days) · Affiliated broker-dealer or bank to another · moved with a team
- B••••••• I••••••••• S•••••••• I••• ••••• to C•••••• S••••• • C••• I•••left Aug 3, 2011, registered Aug 15, 2011 (12 days) · Other
- E••••• J•••• to B••••••• I••••••••• S•••••••• I••• •••••left Oct 27, 2009, registered Jul 13, 2010 (259 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
- National broker-dealer RIAderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address