DFX Intelligence
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Feed of 09/14/2026
Also filed as N••• Allen W•••••
At current firm
2 y
since May 30, 2024
In the industry
13 y
since Aug 20, 2013 (earliest exam, job or registration)
Prior registered firms
5
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
3
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince May 30, 2024 · Tualatin, Or
- W•••• F•••• A••••••• wirehouseSep 19, 2022 to Jun 12, 2024 · Vancouver, Wa
- L•• F•••••••• L•• BD affiliatedJul 1, 2022 to Sep 23, 2022 · Beaverton, Or
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2022 · Boston, Ma
- S•••••••• A••••••• L•• national BDSep 28, 2016 to Jul 13, 2018 · Germantown, Tn
- W•••••• • R••• formerAug 21, 2013 to Sep 19, 2016 · Memphis, Tn
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to E••••• J••••left Jun 12, 2024, registered May 30, 2024 (-13 days) · Wirehouse to affiliated broker-dealer or bank
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Sep 23, 2022, registered Sep 19, 2022 (-4 days) · RIA to wirehouse
- F••••••• P••••••• A•• W•••••••• A••••••• to L•• F•••••••• L••left Mar 31, 2022, registered Jul 1, 2022 (92 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- W•••••• • R••• to S•••••••• A••••••• L••left Sep 19, 2016, registered Sep 28, 2016 (9 days) · Other
Signals
- N••• W••••• left W•••• F•••• A••••••• for E••••• J•••• (registered 2024-05-30)Jun 12, 2024 · Advisor changed firm · fact
- N••• W••••• left L•• F•••••••• L•• for W•••• F•••• A••••••• (registered 2022-09-19)Sep 23, 2022 · Advisor changed firm · fact
- N••• W••••• left F••••••• P••••••• A•• W•••••••• A••••••• for L•• F•••••••• L•• (registered 2022-07-01)Mar 31, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address