DFX Intelligence
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Registered advisor
J•••••• D••••• C•••••
Feed of 09/14/2026
Also filed as J•••••• D••••• B••••••••• D••••• B••••••••• C•••••
At current firm
3 y
since Feb 17, 2023
In the industry
42 y
since Nov 22, 1983 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Feb 17, 2023 · West Dundee, Il
- M••••• S•••••• wirehouseNov 28, 2020 to Mar 2, 2023 · Deerfield, Il
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to R••••••••• C•••••• M•••••••••left Mar 2, 2023, registered Feb 17, 2023 (-13 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedMar 2, 2023 · Advisor changed firm · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address