DFX Intelligence
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Registered advisor
J•••••• W••••••
Feed of 09/14/2026
Also filed as J•••••• L••••••••• W•••
At current firm
11 y
since Jan 2, 2015
In the industry
46 y
since Sep 18, 1980 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jan 2, 2015 · Los Angeles, Ca
- W•••• F•••• A••••••• wirehouseFeb 11, 2010 to Jan 6, 2015 · Beverly Hills, Ca
- U•• F•••••••• S••••••• I••• wirehouseFeb 25, 2005 to Feb 17, 2010 · Beverly Hills, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 8, 1997 to Mar 24, 2005 · Beverly Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Jan 6, 2015, registered Jan 2, 2015 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Feb 17, 2010, registered Feb 11, 2010 (-6 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Mar 24, 2005, registered Feb 25, 2005 (-27 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
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address