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.
Feed of 09/14/2026
Also filed as Ann M Johnson
At current firm
8 y
since Dec 7, 2017
In the industry
15 y
since Jan 21, 2011 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- Edward Jones national BD currentsince Dec 7, 2017 · St. Louis, Mo
- Wintrust Investments formerJul 2, 2012 to Nov 27, 2017 · Chicago, Il
- Edward Jones national BDJan 24, 2011 to May 9, 2012 · Pewaukee, Wi
Moves
a registration end followed by a registration begin elsewhere
- Wintrust Investments to Edward Jonesleft Nov 27, 2017, registered Dec 7, 2017 (10 days) · Other
- Edward Jones to Wintrust Investmentsleft May 9, 2012, registered Jul 2, 2012 (54 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
- National broker-dealer RIAderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address