DFX Intelligence
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Registered advisor
J•• W•••••• L•••••
Feed of 09/15/2026
Also filed as J•• W•••••• L••••••••• L•••••
At current firm
4 y
since Nov 3, 2021
In the industry
17 y
since May 21, 2009 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- W•••••• S••••••••• I••• BD affiliated currentsince Nov 3, 2021 · Haworth, Nj
- O••••• A••••••• L•• no RAUMDec 6, 2023 to Aug 3, 2026 · Pasadena, Ca
Moves
a registration end followed by a registration begin elsewhere
- O••••• A••••••• L•• to no registered destinationleft Aug 3, 2026 · Departure, no registered destination
Signals
- J•• W•••••• L••••• no longer registered at O••••• A••••••• L••; no later IA registration on IAPDAug 3, 2026 · Advisor departure · 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
- 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