DFX Intelligence
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J••• R••••••• W•••
As of · the IAPD feed; also filed as J••• W•••••••• W•••
- At current firm
- 3 y
- In the industry
- 10 y
- Prior registered firms
- 1
- Signals
- 1
since Mar 15, 2023
As of · the IAPD feed; also filed as J••• W•••••••• W•••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Mar 15, 2023 · Richmond, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 26, 2019 to Mar 21, 2023 · Vienna, Va
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T••••• A••••••• S•••••••• I•••left Mar 21, 2023, registered Mar 15, 2023 (-6 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedMar 21, 2023 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address