DFX Intelligence
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Registered advisor
W••••••• B••••••
Feed of 09/15/2026
At current firm
3 y
since Aug 29, 2023
In the industry
17 y
since Oct 24, 2008 (earliest exam, job or registration)
Prior registered firms
3
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
2
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Aug 29, 2023 · Beachwood, Oh
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 10, 2022 to Sep 6, 2023 · Williamsville, Ny
- W•••• F•••• A••••••• wirehouseNov 7, 2016 to Jan 11, 2022 · Williamsville, Ny
- W•••• F•••• A••••••• wirehouseOct 27, 2008 to Oct 3, 2016 · Williamsville, Ny
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to W•••• F•••• A•••••••left Sep 6, 2023, registered Aug 29, 2023 (-8 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 11, 2022, registered Jan 10, 2022 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Oct 3, 2016, registered Nov 7, 2016 (35 days) · channel change inside one enterprise, not a move
Signals
- W••••••• B•••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for W•••• F•••• A••••••• (registered 2023-08-29)Sep 6, 2023 · Advisor changed firm · fact
- W••••••• B•••••• left W•••• F•••• A••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2022-01-10)Jan 11, 2022 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address