DFX Intelligence
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Registered advisor
J••••• W•••••
Feed of 09/14/2026
Also filed as J••••• M••••••••• O••••••• M••••••
At current firm
3 y
since Feb 28, 2023
In the industry
10 y
since Mar 1, 2016 (earliest exam, job or registration)
Prior registered firms
1
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Feb 28, 2023 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseNov 5, 2021 to Dec 20, 2022 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 20, 2022, registered Feb 28, 2023 (70 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedDec 20, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address