DFX Intelligence
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Registered advisor
J•••• A••• Y••••••••
Feed of 09/22/2026
Also filed as J•••• A• Y••••••••• A••• Y••••••••
At current firm
0 y
since Sep 15, 2026
In the industry
16 y
since Apr 1, 2010 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- G•••••• W••••• P•••••••• L•• independent RIA currentsince Sep 15, 2026 · Appleton, Wi
- G•••••• W••••• P•••••••• L•• independent RIA currentsince Sep 15, 2026 · Appleton, Wi
- W•••• F•••• A••••••• wirehouse currentsince Nov 21, 2023 · Kenosha, Wi
- W•••• F•••• A••••••• wirehouseNov 21, 2023 to Sep 21, 2026 · Kenosha, Wi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 24, 2020 to Sep 28, 2020 · Burlington, Wi
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Nov 22, 2023 · Pleasant Prairie, Wi
- C•••• I••••••••• S••••••• C•••• formerOct 18, 2011 to Oct 1, 2012 · Kenosha, Wi
- C•••• I••••••••• S••••••• C•••• formerOct 18, 2011 to Oct 1, 2012 · Kenosha, Wi
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to G•••••• W••••• P•••••••• L••left Sep 21, 2026, registered Sep 15, 2026 (-6 days) · Wirehouse to independent RIA
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 22, 2023, registered Sep 24, 2020 (-1154 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Sep 28, 2020, registered Nov 21, 2023 (1149 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedSep 21, 2026 · Advisor changed firm · fact
- ••• LockedNov 22, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address