DFX Intelligence
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Registered advisor
J•••••• S•••••
Feed of 09/15/2026
At current firm
10 y
since May 26, 2016
In the industry
42 y
since Jan 27, 1984 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince May 26, 2016 · Fort Lauderdale, Fl
- U•• F•••••••• S••••••• I••• wirehouseJan 17, 2006 to Jun 6, 2016 · Ft. Lauderdale, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 19, 1994 to Feb 1, 2006 · Plantation, Fl
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Jun 6, 2016, registered May 26, 2016 (-11 days) · Wirehouse to wirehouse · moved with a team
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Feb 1, 2006, registered Jan 17, 2006 (-15 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address