DFX Intelligence
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Registered advisor
T••••• W•••
Feed of 09/14/2026
Also filed as T••••• W••••••••• H•••••• W•••
At current firm
0 y
since Oct 22, 2025
In the industry
10 y
since Jan 1, 2016 (earliest exam, job or registration)
Prior registered firms
4
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
2
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Oct 22, 2025 · Towson, Md
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Sep 16, 2025 · Bethesda, Md
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 14, 2022 to Mar 31, 2025 · Bethesda, Md
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 10, 2022 to Sep 26, 2022 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 7, 2018 to Nov 23, 2021 · Hunt Valley, Md
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Sep 16, 2025, registered Oct 22, 2025 (36 days) · Affiliated broker-dealer or bank to another · moved with a team
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 26, 2022, registered Nov 14, 2022 (49 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Nov 23, 2021, registered Jun 10, 2022 (199 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedSep 16, 2025 · Advisor changed firm · fact
- ••• LockedSep 26, 2022 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address