DFX Intelligence
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Registered advisor
W•••• A• W•••••
Feed of 09/15/2026
Also filed as W•••• A•••• W••••••••• A• W•••••
At current firm
1 y
since Feb 4, 2025
In the industry
15 y
since Jul 1, 2011 (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, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Feb 4, 2025 · Johnstown, Pa
- J••• M••••• S••••••••• L•• wirehouseDec 9, 2021 to Jun 25, 2024 · Dacula, Ga
- C••••• I••••••••• A••••••• L•• BD affiliatedJun 2, 2020 to Nov 22, 2021 · Duluth, Ga
- E••••• J•••• national BDFeb 1, 2019 to May 27, 2020 · Bishop, Ga
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to L•• F•••••••• L••left Jun 25, 2024, registered Feb 4, 2025 (224 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C••••• I••••••••• A••••••• L•• to J••• M••••• S••••••••• L••left Nov 22, 2021, registered Dec 9, 2021 (17 days) · Affiliated broker-dealer or bank to wirehouse
- E••••• J•••• to C••••• I••••••••• A••••••• L••left May 27, 2020, registered Jun 2, 2020 (6 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedJun 25, 2024 · Advisor changed firm · fact
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address