DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

W•••••• L• J••••

Registered advisorat C•••••• S••••• • C••• I•••Dual registrant· Brea, CaIAPD 7542487
At current firm
3 y
since Oct 17, 2022
In the industry
14 y
Prior registered firms
0
Signals
1
As of · the IAPD feed; also filed as W•••••• J••••••••• J••••••••• L• J••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
    Moves
    a registration end followed by a registration begin elsewhere
    No firm change on the tape.
    Signals
    • ••• Locked
      Sep 16, 2026 · Advisor registration ended · derived
    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
    National broker-dealer RIAderived
    Years in industry
    14derivedfrom the earliest dated exam, employment or registration
    Not published
    disclosure flags, outside business text, branch street address