DFX Intelligence
RIA Intelligence
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Feed of 09/14/2026
Also filed as Jim Willis
At current firm
0 y
since Sep 23, 2025
In the industry
13 y
since Dec 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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Sep 23, 2025 · Dallas, Tx
- F••••• I••••••••• independent RIAAug 6, 2022 to Jan 17, 2023 · Plano, Tx
Moves
a registration end followed by a registration begin elsewhere
- F••••• I••••••••• to W•••• F•••• A•••••••left Jan 17, 2023, registered Sep 23, 2025 (980 days) · RIA to wirehouse
Signals
- J•••• W••••• left F••••• I••••••••• for W•••• F•••• A••••••• (registered 2025-09-23)Jan 17, 2023 · 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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address