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

W••••• W•••••• L•••••

E••••• J••••national BDRutland, Vtdual registrantIAPD 5887737

Chartered Financial Consultant

Feed of 09/14/2026

Also filed as W••••• W•••••• L•••••

At current firm

3 y

since Mar 3, 2023

In the industry

15 y

since Feb 1, 2011 (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

E••••• J•••• national BD current
since Mar 3, 2023 · Rutland, Vt
C••••••• S••••••••• I••• BD affiliated
Jul 11, 2022 to Feb 16, 2023 · Brattleboro, Vt
L•• F•••••••• L•• BD affiliated
May 18, 2022 to Jul 20, 2022 · Bennington, Vt
C••• B•••••••• S•••••••• I••• former
Jan 23, 2018 to May 18, 2022 · Waverly, Ia
E••••• J•••• national BD
Jun 15, 2011 to Dec 20, 2017 · St Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

C••••••• S••••••••• I••• to E••••• J••••
left Feb 16, 2023, registered Mar 3, 2023 (15 days) · Affiliated broker-dealer or bank to another
L•• F•••••••• L•• to C••••••• S••••••••• I•••
left Jul 20, 2022, registered Jul 11, 2022 (-9 days) · RIA to affiliated broker-dealer or bank
C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••
left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
E••••• J•••• to C••• B•••••••• S•••••••• I•••
left Dec 20, 2017, registered Jan 23, 2018 (34 days) · Other

Signals

W••••• W•••••• L••••• left C••••••• S••••••••• I••• for E••••• J•••• (registered 2023-03-03)
Feb 16, 2023 · Advisor changed firm · fact
W••••• W•••••• L••••• left L•• F•••••••• L•• for C••••••• S••••••••• I••• (registered 2022-07-11)
Jul 20, 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: 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