DFX Intelligence

RIA Intelligence

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SEC-registered adviser

J• W• C••• A•••••••• I•••

Broker-dealer affiliated wealth managerTampa, FloridaCRD 112294SEC 801-60722website IAPD

Legal name J••••••• R•••••• A••••••• G••••• I•••

Latest filing Mar 31, 2026

First filing on the tape Mar 30, 2012 · 43 filings

SEC status approved since Nov 23, 2001

RAUM

$8.2B

reported, Item 5.F

Discretionary

82%

of RAUM

Private clients

96%

$7.9B individuals and HNW

Advisors

494

registered through the firm on IAPD

RAUM per advisor

$16.7M

derived; firm RAUM over IAPD count

Employees

550

468 advisory (5.B.1)

Offices

278

beyond the principal office

Private funds

reported on Schedule D

History

43 filings and snapshots on the tape

RAUM$8.2B as of Mar 31, 2026

Mar 30, 2012$509M then

HNW client RAUM$2.7B as of Mar 31, 2026

Apr 20, 2018$245M then

State-registered IARs (5.B.3)430 as of Mar 31, 2026

Mar 28, 2013173 then

Employees (5.A)550 as of Mar 31, 2026

Mar 28, 2013173 then

Private funds: no history

RAUM +15% over the last fiscal year+19% a year over threeIARs 340 to 430offices 275 to 278

Practice profile

derived from the filing of Mar 31, 2026; every figure names its basis

Archetypes, each a printed rule

Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
p••••••• led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)

RAUM per advisor: $16.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 63derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.2MderivedHNW RAUM over HNW clients
Average account: $263,959derivedRAUM over accounts (5.F.2.f)
Discretionary: 82%derivedof RAUM
Institutional: 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.1derivedItem 5.A over advisors
Advisors per office: 1.8derived279 offices incl. principal (1.F.5)
RAUM growth, one year: +15%derivedbetween the last two annual amendments
Advisor growth, one year: +26%derivedItem 5.B.3 between annual amendments
Client growth, one year: +5.3%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminars, otherreportedItem 5.G
Financial planning clients: 2,000reportedItem 5.H
Wrap fee program: $29.2MreportedItem 5.I
Custody: $556M, 958 clientsreportedItem 9.A
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Firms absorbed, 24 months: 1derivedhalf or more of a firm's advisors moved here within 14 days
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

is a broker-dealer (6.A.1)
buys or sells securities as principal to or from clients (8.A.2)
has discretionary authority over which securities are bought or sold (8.C.1)
receives research or other products from a broker-dealer, soft dollars (8.E)
compensates persons for client referrals (8.G.1)
has custody of client cash or bank accounts (9.A.1.a)
marketing includes testimonials (5.L.1.c)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$5.1B62%
High-net-worth individuals$2.7B33%
Corporations and businesses$232M2.8%
Charitable organizations$117M1.4%
Pension and profit-sharing plans$6.9M0.1%

Individual clients: 29,606reported
HNW clients: 1,261reported
Pension plan clients: 7reported
Charitable clients: 46reported
Accounts: 31,247reported
Financial planning clients: 2,000reported
Wrap fee programs: $29.2M sponsored, $982M managedreported
Custody of client assets: $556M for 958 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.96 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=485.0derived

Advisors registered through the firm

494 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
D•••••• W••••• J••••Chartered Financial Consultant	Lake Forest, Ca	May 5, 1992	44 y	2
M•••••• S••• J••••	Lake Forest, Ca	Feb 28, 2000	43 y	2
D•••• W•••••• C••••Certified Financial Planner	Irvine, Ca	Apr 25, 2001	33 y	2
M••• G••• W•••••Certified Financial Planner	Phoenix, Az	Jan 14, 2002	31 y	0
D•••• A••• E••••	Sugarland, Tx	Jul 8, 2002	30 y	1
R••••• J••••• W•••	Tampa, Fl	Oct 25, 2002	27 y	1
H••••• D•••••• T•••••••••	Gainesville, Fl	Jan 2, 2003	31 y	1
L•••• N•••• N•••••Certified Financial Planner	Tampa, Fl	Sep 5, 2003	31 y	0
J•••• C••• S•••••••Certified Financial Planner	Palmyra, Pa	Sep 9, 2003	41 y	1
D•••• K•••• H•••	Tampa, Fl	Oct 22, 2003	32 y	2
D•••••• B• H•••••	Bloomington, In	Jun 18, 2004	25 y	1
J••• A••••• C••••••	Tampa, Fl	Oct 28, 2004	29 y	1
T••••• J•••• H••••Personal Financial Specialist	Tampa, Fl	Apr 19, 2005	28 y	1
J••• R••••• M••••Certified Financial Planner	Ft. Washington, Pa	Oct 19, 2005	28 y	2
N••••••• E••••••• A•••••••••	Tampa, Fl	Jan 13, 2006	24 y	3
P••••• L••••• K•••••	Tampa, Fl	Jan 24, 2006	25 y	2
L•• W•••• L•••	Jacksonville, Fl	Feb 8, 2006	30 y	1
T••••• F•••••• E•••••	Victoria, Il	Jun 30, 2006	35 y	0
H•••••• R•••• C••••	Tampa, Fl	Jan 8, 2007	21 y	0
W•••••• A••••• S••••Certified Financial Planner, Chartered Financial Consultant	Tampa, Fl	Jul 31, 2007	24 y	2
M•••••• J••• V•••••••••	Tampa, Fl	Aug 27, 2007	36 y	2
C•••••• M•••••• S•••••••Certified Financial Planner	Tampa, Fl	Dec 19, 2007	24 y	1
L••••• K••• G••••	Tampa, Fl	Oct 17, 2008	20 y	0
M••••• D••••• I•• B•••••••	Huntsville, Al	Jan 5, 2009	36 y	2
C••••• L•• Y•••••••••Certified Financial Planner	Tampa, Fl	Apr 1, 2009	21 y	2
C•••••••• G••••• B•••••Certified Financial Planner	Tampa, Fl	Jul 20, 2009	23 y	0
S•••• C••••••••• W••••••Certified Financial Planner	Tampa, Fl	Sep 3, 2009	22 y	1
J••• C••••• M•••••••Certified Financial Planner	Irvina, Ca	Sep 9, 2009	21 y	2
B•••• R••••• B•••••••	Tampa, Fl	Sep 9, 2009	21 y	6
P••••• B• P••••	Tampa, Fl	Oct 13, 2009	22 y	1
J••••• A••••• G•••••	Tampa, Fl	Nov 2, 2009	18 y	0
A••••• J• K•••••	St. Charles, Mo	Nov 10, 2009	18 y	1
C•••••• R•••••• H••••••••	Clayton, Mo	Nov 10, 2009	32 y	5
T••••• E•••• H••••••••	Tampa, Fl	Nov 24, 2009	27 y	3
A•••••• M•••••• C••••Certified Financial Planner	Tampa, Fl	Dec 21, 2009	22 y	3
K•••• G•••• F•••	Tampa, Fl	Jan 25, 2010	28 y	1
M•••••• A••• B••••••••	Tampa, Fl	Feb 23, 2010	18 y	1
D••••• W•••• T••••••	Bloomington, In	Mar 12, 2010	16 y	1
C••••• A•••• W••••••	Marion, Il	May 6, 2010	28 y	1
R•• D•••••••	Tampa, Fl	Jun 28, 2010	21 y	2

All 494 advisors at J• W• C••• A•••••••• I•••

Advisor movement

14 left, 39 joined in 12 months

net +25 in 12 months3 left in 90 days9 joined in 90 daysdeparture rate 2.8% of current headcount65 left over 36 months

Left, latest

S•••• D••••• G••••••• to C•••••• I••••••••• A••••••• C••••••• I•••
Sep 3, 2026 · Affiliated broker-dealer or bank to independent RIA
X••••• A•••••••• B•••• to C•••••• I••••••••• A••••••• C••••••• I•••
Sep 3, 2026 · Affiliated broker-dealer or bank to independent RIA
K•••••• E• N•••• to W••••• E••••••••• A••••••• S•••••••• L••
Jul 29, 2026 · Affiliated broker-dealer or bank to another
M•••••• E••••• S•••• to C••• W••••• A•••••••• I•••
Apr 17, 2026 · Affiliated broker-dealer or bank to independent RIA
W••••• C••••••••• R••• to U•• F•••••••• S••••••••• L••
Apr 2, 2026 · Affiliated broker-dealer or bank to independent RIA
T••• J•••••• N••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Mar 25, 2026 · Affiliated broker-dealer or bank to wirehouse
R••••• D••••• O•••••••• to S•••••• P••••••• I••••••••• A•••••••• L••
Mar 19, 2026 · Affiliated broker-dealer or bank to another
E••••• J• B•••• to F•••••• F•••••••• A•••••••• L••
Jan 29, 2026 · Affiliated broker-dealer or bank to another
S••••••• L••• Z•••••••• to S••••••••• F•••••••• G••••• L••
Dec 31, 2025 · Affiliated broker-dealer or bank to independent RIA
S•••• D•••• G•••• to F•••••••• P••••••• H•••••• I•••
Dec 31, 2025 · Affiliated broker-dealer or bank to independent RIA
I•••• H••••• to F•••••••• P••••••• H•••••• I•••
Dec 31, 2025 · Affiliated broker-dealer or bank to independent RIA
M•••••• J•• D••••••• to V••••••••• A••••••• S•••••••
Dec 26, 2025 · Affiliated broker-dealer or bank to another
J••••••• K•• D•••••• to L•• E••••••••• L••
Nov 20, 2025 · Affiliated broker-dealer or bank to another
A••••• S• W••••• to P••• A••••• S••••••••• L••
Oct 20, 2025 · Affiliated broker-dealer or bank to another
R••••• F•••••••• R••••••••• to L•• E••••••••• L••
Sep 5, 2025 · Affiliated broker-dealer or bank to another

Joined, latest

G•••••• S••••• from N••••••••• I••••••••• A•••••••• L••
Sep 8, 2026 · Affiliated broker-dealer or bank to another
J••••• M•••••• S••••••• from L•• F•••••••• L••
Aug 20, 2026 · Affiliated broker-dealer or bank to another
K••••• A••• C••••••••• S•••••• from B•• S••••••••• I•••
Aug 11, 2026 · RIA to affiliated broker-dealer or bank
D•••• B•••••• C••••••• from P••• A••••• S••••••••• L••
Aug 5, 2026 · Affiliated broker-dealer or bank to another
L•••• M•••••• C•••••• from L•• F•••••••• L••
Aug 4, 2026 · Affiliated broker-dealer or bank to another
S••••••• A••••• from A••••••••• F•••••••• S•••••••• L••
Jul 21, 2026 · Affiliated broker-dealer or bank to another
T••••• M•••••• E••••• from F••••• I•••••••••
Jul 16, 2026 · RIA to affiliated broker-dealer or bank
A•••• K••••• from H•••••• T••••••• • K•••• L••
Jul 14, 2026 · RIA to affiliated broker-dealer or bank
P••• J••••• C•••••••• from L•• F•••••••• L••
Jul 2, 2026 · Affiliated broker-dealer or bank to another
B••••••• R•••• from E•••••••• A•••••••• L••
Jun 18, 2026 · Affiliated broker-dealer or bank to another
J••• K•••••• B•••• from L•••• F••• A••••••• S•••••••
Jun 16, 2026 · Affiliated broker-dealer or bank to another
B••••••• R••• W•••• from C••••••••• F•••••••• N••••••
Jun 15, 2026 · Affiliated broker-dealer or bank to another
M••••••• O••••••• Y•••• from C••••••••• F•••••••• N••••••
Jun 15, 2026 · Affiliated broker-dealer or bank to another
S••• R•••••• H•••••• from C••••••••• F•••••••• N••••••
Jun 15, 2026 · Affiliated broker-dealer or bank to another
L•••• W••••• from M••••• S••••••
May 28, 2026 · Wirehouse to affiliated broker-dealer or bank

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for M•••• C••••••• A••••••• S••••••
Feb 28, 2025 · T•••, Mi
2 left for B••• F••••••••
May 6, 2024 · Tampa, Fl
2 left for L•••••••• C•••••• G••••• I•••
Jul 10, 2023 · C••••••, Il
2 left for W••••• E••••••••• A••••••• S•••••••• L••
May 2, 2023 · Hutchinson, Mn
2 left for S••••• A••••••• W•••••• L••
Dec 1, 2022 · Tampa, Fl
2 left for A••••••• S••••••• N••••••
Aug 27, 2021 · Tampa, Fl
2 left for M••••••••• W••••• A•••••••• L••
Dec 22, 2020 · Tampa, Fl
2 left for S••••••••• W••••• M••••••••• L••
Jul 15, 2020 · Tampa, Fl

2 joined from L•• F•••••••• L••
Aug 19, 2026 · Dousman, Wi
2 joined from C••••••••• F•••••••• N••••••
Jun 28, 2026 · Villanova, Pa
5 joined from C••••••••• F•••••••• N••••••
Feb 4, 2026 · Huntsville, Al
4 joined from C••••••••• F•••••••• N••••••
Nov 6, 2025 · P••••F•••, Ny
2 joined from U•• F•••••••• S••••••••• L••
Sep 8, 2025 · Grand Rapids, Mi
2 joined from L•• F•••••••• L••
Jul 14, 2025 · Sauk City, Wi
3 joined from B•••••• A•• B••••• C•••••• S•••••••• P•••
Mar 31, 2025 · Longw•••, Fl · Firm absorbed
4 joined from O•••• W•••••• I•••
Feb 26, 2025 · Bethlehem, Pa

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

W•••• R•••••• J••••• · Executive Vice Presidentcontrol
since 06/2022 · owns less than 5%
L••••••• K•••• W••••• · Chief Compliance Officer
since 06/2020 · owns less than 5%
P•••• T•••• J•••• · Chief Operations Officer
since 05/2013 · owns less than 5%

Entity owners

J•• W••••• P••••••• · Owner
direct · owns 75% or more

Related persons

Schedule D 7.A

J••• C••• F••••••••• I•••
broker-dealery

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left
Tampa, Fl · principal	491	60	6
Clearwater, Fl	10	1	0
P••••F•••, Ny	10	5	1
Colorado Springs, Co	9	3	0
Bethlehem, Pa	8	2	0
Rockledge, Fl	8	1	0
Jacksonville, Fl	7	0	0
O••••, Ne	7	0	0
Maitland, Fl	7	0	0
Grand Rapids, Mi	7	0	0
Edina, Mn	7	1	0
Huntsville, Al	6	5	0
Gainesville, Fl	6	1	0
White Oak, Pa	6	0	0
State College, Pa	6	2	0
Midlothian, Va	5	1	0
Lakew••• Ranch, Fl	5	0	0
Bloomington, In	5	0	0
Palatka, Fl	5	0	0
Orange, Ca	5	0	0

Offices

Schedule D 1.F, the 25 largest

Clearwater, FL10 employees
Rockledge, FL10 employees
Eden Prarie, MN6 employees
Ponte Vedra Beach, FL5 employees
Palm Bay, FL5 employees
Gainesville, FL5 employees
Honolulu, HI5 employees
Bloomington, IN5 employees
, 4 employees
State College, PA4 employees
Winter Springs, FL4 employees
Colorado Springs, CO4 employees
Onalaska, WI4 employees
O••••, NE4 employees
Palmyra, PA3 employees
Hobe Sound, FL3 employees
Ft Meyers, FL3 employees
Tampa, FL3 employees
Bedf•••, IN3 employees
Red Hook, NY3 employees
White Oak, PA3 employees
Irvine, CA3 employees
Salt Lake City, UT3 employees
Naples, FL3 employees
Tomball, TX3 employees

ADV anomalies

1 against comparable advisers; where to look, not conclusions

custody status changedChange between filings · filing Mar 31, 2026
custody of client assets (Item 9.A): no on the filing of 2026-01-14, yes on the filing of 2026-03-31
peers: affiliated wealth managers, $5B to $20B (53)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 29,614 to 31,247
Jan 14, 2026 to Mar 31, 2026
Advisory employees · 434 to 468
Jan 14, 2026 to Mar 31, 2026
BD registered reps · 454 to 485
Jan 14, 2026 to Mar 31, 2026
Charity clients · 26 to 46
Jan 14, 2026 to Mar 31, 2026
Corporate clients · 252 to 327
Jan 14, 2026 to Mar 31, 2026
HNW clients · 1,691 to 1,261
Jan 14, 2026 to Mar 31, 2026
Individual clients · 27,626 to 29,606
Jan 14, 2026 to Mar 31, 2026
Pension plan clients · 19 to 7
Jan 14, 2026 to Mar 31, 2026
Assets in custody · $0 to $556M
Jan 14, 2026 to Mar 31, 2026
Custody of client assets · false to true
Jan 14, 2026 to Mar 31, 2026
Employees · 512 to 550
Jan 14, 2026 to Mar 31, 2026
Insurance-licensed employees · 34 to 40
Jan 14, 2026 to Mar 31, 2026
State-registered IARs · 340 to 430
Jan 14, 2026 to Mar 31, 2026
Other offices · 275 to 278
Jan 14, 2026 to Mar 31, 2026
Discretionary RAUM · $5.6B to $6.7B
Jan 14, 2026 to Mar 31, 2026
HNW RAUM · $2.3B to $2.7B
Jan 14, 2026 to Mar 31, 2026
Individual RAUM · $4.6B to $5.1B
Jan 14, 2026 to Mar 31, 2026
Non-discretionary RAUM · $1.6B to $1.5B
Jan 14, 2026 to Mar 31, 2026
Pension RAUM · $27.4M to $6.9M
Jan 14, 2026 to Mar 31, 2026
RAUM · $7.2B to $8.2B
Jan 14, 2026 to Mar 31, 2026
Wrap assets (manager) · $676M to $982M
Jan 14, 2026 to Mar 31, 2026
Wrap assets (sponsor) · $40.1M to $29.2M
Jan 14, 2026 to Mar 31, 2026
Financial planning clients · More than 500 to More than 500
Mar 28, 2025 to Jun 30, 2025
Accounts · 25,612 to 29,614
Mar 28, 2024 to Mar 28, 2025
Charity clients · 23 to 26
Mar 28, 2024 to Mar 28, 2025
Corporate clients · 256 to 252
Mar 28, 2024 to Mar 28, 2025
HNW clients · 1,873 to 1,691
Mar 28, 2024 to Mar 28, 2025
Individual clients · 23,453 to 27,626
Mar 28, 2024 to Mar 28, 2025
Pension plan clients · 7 to 19
Mar 28, 2024 to Mar 28, 2025
Other offices · 388 to 275
Mar 28, 2024 to Mar 28, 2025
Discretionary RAUM · $4.2B to $5.6B
Mar 28, 2024 to Mar 28, 2025
HNW RAUM · $1.9B to $2.3B
Mar 28, 2024 to Mar 28, 2025
Individual RAUM · $3.6B to $4.6B
Mar 28, 2024 to Mar 28, 2025
Non-discretionary RAUM · $1.6B to $1.6B
Mar 28, 2024 to Mar 28, 2025
Pension RAUM · $1.5M to $27.4M
Mar 28, 2024 to Mar 28, 2025
RAUM · $5.7B to $7.2B
Mar 28, 2024 to Mar 28, 2025
Wrap assets (manager) · $284M to $676M
Mar 28, 2024 to Mar 28, 2025
Wrap assets (sponsor) · $62.8M to $40.1M
Mar 28, 2024 to Mar 28, 2025
Accounts · 24,060 to 25,612
Jun 23, 2023 to Mar 28, 2024
BD registered reps · 466 to 454
Jun 23, 2023 to Mar 28, 2024

Signals

60 dated events

K•••• R••• K••••• no longer holds an investment adviser registration (last listed at J• W• C••• A•••••••• I••• on the 2026-09-15 feed)
Sep 15, 2026 · Advisor registration ended · derived
X••••• A•••••••• B•••• left J• W• C••• A•••••••• I••• for C•••••• I••••••••• A••••••• C••••••• I••• (registered 2026-08-26)
Sep 3, 2026 · Advisor changed firm · fact
S•••• D••••• G••••••• left J• W• C••• A•••••••• I••• for C•••••• I••••••••• A••••••• C••••••• I••• (registered 2026-08-28)
Sep 3, 2026 · Advisor changed firm · fact
2 advisors left L•• F•••••••• L•• (Dousman, WI) for J• W• C••• A•••••••• I••• on the same day
Aug 19, 2026 · Team lift-out · derived
K•••••• E• N•••• left J• W• C••• A•••••••• I••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2026-06-29)
Jul 29, 2026 · Advisor changed firm · fact
2 advisors left C••••••••• F•••••••• N•••••• (Villanova, PA) for J• W• C••• A•••••••• I••• on the same day
Jun 28, 2026 · Team lift-out · derived
M•••••• E••••• S•••• left J• W• C••• A•••••••• I••• for C••• W••••• A•••••••• I••• (registered 2026-04-29)
Apr 17, 2026 · Advisor changed firm · fact
W••••• C••••••••• R••• left J• W• C••• A•••••••• I••• for U•• F•••••••• S••••••••• L•• (registered 2026-08-10)
Apr 2, 2026 · Advisor changed firm · fact
J• W• C••• A•••••••• I••• reported 430 state-registered advisory representatives, up from 340 (2026-01-14 to 2026-03-31)
Mar 31, 2026 · Advisor headcount change · derived
T••• J•••••• N••••• left J• W• C••• A•••••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2026-05-20)
Mar 25, 2026 · Advisor changed firm · fact
R••••• D••••• O•••••••• left J• W• C••• A•••••••• I••• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2026-03-26)
Mar 19, 2026 · Advisor changed firm · fact
5 advisors left C••••••••• F•••••••• N•••••• (Huntsville, AL) for J• W• C••• A•••••••• I••• a day apart
Feb 4, 2026 · Team lift-out · derived
E••••• J• B•••• left J• W• C••• A•••••••• I••• for F•••••• F•••••••• A•••••••• L•• (registered 2026-02-13)
Jan 29, 2026 · Advisor changed firm · fact
John Henry R••••••• no longer registered at J• W• C••• A•••••••• I•••; no later IA registration on IAPD
Dec 31, 2025 · Advisor departure · fact
I•••• H••••• left J• W• C••• A•••••••• I••• for F•••••••• P••••••• H•••••• I••• (registered 2025-12-02)
Dec 31, 2025 · Advisor changed firm · fact
S••••••• L••• Z•••••••• left J• W• C••• A•••••••• I••• for S••••••••• F•••••••• G••••• L•• (registered 2026-01-14)
Dec 31, 2025 · Advisor changed firm · fact
S•••• D•••• G•••• left J• W• C••• A•••••••• I••• for F•••••••• P••••••• H•••••• I••• (registered 2024-03-22)
Dec 31, 2025 · Advisor changed firm · fact
M•••••• J•• D••••••• left J• W• C••• A•••••••• I••• for V••••••••• A••••••• S••••••• (registered 2026-01-21)
Dec 26, 2025 · Advisor changed firm · fact
J••••••• K•• D•••••• left J• W• C••• A•••••••• I••• for L•• E••••••••• L•• (registered 2025-11-17)
Nov 20, 2025 · Advisor changed firm · fact
4 advisors left C••••••••• F•••••••• N•••••• (Pittsford, NY) for J• W• C••• A•••••••• I••• on the same day
Nov 6, 2025 · Team lift-out · derived
A••••• S• W••••• left J• W• C••• A•••••••• I••• for P••• A••••• S••••••••• L•• (registered 2025-11-05)
Oct 20, 2025 · Advisor changed firm · fact
2 advisors left U•• F•••••••• S••••••••• L•• (Grand Rapids, MI) for J• W• C••• A•••••••• I••• on the same day
Sep 8, 2025 · Team lift-out · derived
R••••• F•••••••• R••••••••• left J• W• C••• A•••••••• I••• for L•• E••••••••• L•• (registered 2025-09-03)
Sep 5, 2025 · Advisor changed firm · fact
N••••• J••• S••••••• left J• W• C••• A•••••••• I••• for P•••••• E•••• W••••• A•••••••• I••• (registered 2025-07-21)
Aug 22, 2025 · Advisor changed firm · fact
D••• A•••••• S••••••• left J• W• C••• A•••••••• I••• for A••••••• W••••• M••••••••• L•• (registered 2025-08-01)
Jul 30, 2025 · Advisor changed firm · fact
2 advisors left L•• F•••••••• L•• (Merrimac, WI) for J• W• C••• A•••••••• I••• on the same day
Jul 14, 2025 · Team lift-out · derived
A••••• F••••• Y•••• left J• W• C••• A•••••••• I••• for K••••• P•••••• W••••• S•••••••• L•• (registered 2025-05-21)
Jun 5, 2025 · Advisor changed firm · fact
J•••••• L•• left J• W• C••• A•••••••• I••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-06-03)
May 2, 2025 · Advisor changed firm · fact
B•••••• A•• B••••• C•••••• S•••••••• P•••'s advisors moved to J• W• C••• A•••••••• I••• (Deland, FL): 3 of 3 registered, on the same day
Mar 31, 2025 · Firm absorbed (people side) · derived
J• W• C••• A•••••••• I••• reported 275 offices beyond its principal office, down from 388 (2024-03-28 to 2025-03-28)
Mar 28, 2025 · Office count change · derived

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Business phone: 813-935-6776reportedpublished by the firm, firm site, Sep 17, 2026
Firm profile: linkedin.com/company/jw-cole-financial-inc-reportedpublic record, Form ADV, Sep 21, 2026
Website: j••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: (813) 935-6776reportedpublic record, Form ADV, Mar 31, 2026

Provenance

Form ADV: SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors: IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class: Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $16.7Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026