DFX Intelligence
RIA Intelligence
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Registered advisor
W••••• J••••• B••••
Feed of 09/14/2026
At current firm
10 y
since Jul 22, 2016
In the industry
14 y
since May 29, 2012 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••••• A•••••••• L•• national BD currentsince Jul 22, 2016 · Conshohocken, Pa
- M•• F•••••••• S•••••••• I••• formerJul 6, 2016 to Jul 25, 2016 · Philadelphia, Pa
- M•• F•••••••• S•••••••• I••• formerJan 11, 2016 to Jul 1, 2016 · Philadelphia, Pa
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAApr 25, 2014 to Jan 25, 2016 · Blue Bell, Pa
Moves
a registration end followed by a registration begin elsewhere
- M•• F•••••••• S•••••••• I••• to E•••••••• A•••••••• L••left Jul 25, 2016, registered Jul 22, 2016 (-3 days) · Other · moved with a team
- M••••• O• O•••• I••••••• S•••••••• I••• to M•• F•••••••• S•••••••• I•••left Jan 25, 2016, registered Jan 11, 2016 (-14 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address