DFX Intelligence
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Registered advisor
C••• J• L•••••
Feed of 09/14/2026
Also filed as C••• J• W••••••••• J• W••••••••• J• L•••••
At current firm
6 y
since Oct 21, 2019
In the industry
17 y
since Jun 30, 2009 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- P•• W••••• M••••••••• BD affiliated currentsince Oct 21, 2019 · Pittsburgh, Pa
- L•• F•••••••• L•• BD affiliatedNov 2, 2016 to Nov 13, 2017 · Wichita, Ks
- C••• F•••••••• S•••••••• L••• formerAug 13, 2010 to Oct 27, 2016 · San Diego, Ca
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJul 1, 2009 to Aug 26, 2010 · Wichita, Ks
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to P•• W••••• M•••••••••left Nov 13, 2017, registered Oct 21, 2019 (707 days) · RIA to affiliated broker-dealer or bank
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left Oct 27, 2016, registered Nov 2, 2016 (6 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to C••• F•••••••• S•••••••• L•••left Aug 26, 2010, registered Aug 13, 2010 (-13 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address