DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
A••••• J••••• W•••
Feed of 09/14/2026
At current firm
4 y
since Sep 22, 2022
In the industry
13 y
since Nov 1, 2012 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- B••••• P••••• A•••••••• L•• independent RIA currentsince Sep 22, 2022 · Newport Beach, Ca
- C•••••• S••••• • C••• I••• national BDApr 7, 2014 to Mar 23, 2022 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to B••••• P••••• A•••••••• L••left Mar 23, 2022, registered Sep 22, 2022 (183 days) · Affiliated broker-dealer or bank to independent RIA
Signals
- ••• LockedMar 23, 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address