DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

J••••• J•••••

W••••• E••••••••• A••••••• S•••••••• L••BD affiliatedPlymouth, Mn dual registrantIAPD 5736417

Feed of 09/15/2026

Also filed as J••••• W J•••••

At current firm

0 y

since Feb 17, 2026

In the industry

16 y

since Feb 5, 2010 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated current
since Feb 17, 2026 · Plymouth, Mn
C••••••• P•••••• W••••• BD affiliated
Aug 23, 2022 to Feb 11, 2026 · Portsmouth, Nh
C••••••• S••••••••• I••• BD affiliated
Aug 23, 2022 to Feb 11, 2026 · Woburn, Ma
S•••••• N••••••• • C••••••• I••••••••• national BD
Dec 1, 2021 to Aug 29, 2022 · Portsmouth, Nh
U•• F•••••••• S••••••• I••• wirehouse
Dec 13, 2013 to Dec 16, 2021 · Portsmouth, Nh
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 17, 2010 to Dec 16, 2013 · Portsmouth, Nh

Moves

a registration end followed by a registration begin elsewhere

C••••••• P•••••• W••••• to W••••• E••••••••• A••••••• S•••••••• L••
left Feb 11, 2026, registered Feb 17, 2026 (6 days) · Affiliated broker-dealer or bank to another
C••••••• S••••••••• I••• to C••••••• P•••••• W•••••
left Feb 11, 2026, registered Aug 23, 2022 (-1268 days) · Affiliated broker-dealer or bank to independent RIA
S•••••• N••••••• • C••••••• I••••••••• to C••••••• S••••••••• I•••
left Aug 29, 2022, registered Aug 23, 2022 (-6 days) · Affiliated broker-dealer or bank to another
U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
left Dec 16, 2021, registered Dec 1, 2021 (-15 days) · Wirehouse to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••
left Dec 16, 2013, registered Dec 13, 2013 (-3 days) · Wirehouse to wirehouse

Signals

J••••• J••••• left C••••••• P•••••• W••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2026-02-17)
Feb 11, 2026 · Advisor changed firm · fact
J••••• J••••• left C••••••• S••••••••• I••• for C••••••• P•••••• W••••• (registered 2022-08-23)
Feb 11, 2026 · Advisor changed firm · fact
J••••• J••••• left S•••••• N••••••• • C••••••• I••••••••• for C••••••• S••••••••• I••• (registered 2022-08-23)
Aug 29, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address