DFX Intelligence
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Registered advisor
S•••••••• J••••• T••••••••
Feed of 09/14/2026
Also filed as S•• J••••• T••••••••
At current firm
5 y
since Feb 11, 2021
In the industry
41 y
since Mar 4, 1985 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Feb 11, 2021 · Fairfield, Ct
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 2, 2021 · Fairfield, Ct
- M••••• S•••••• • C•• L•• unclassifiedNov 14, 2008 to Jun 1, 2009 · Fairfield, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 22, 1988 to Nov 18, 2008 · Fairfield, Ct
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Mar 2, 2021, registered Feb 11, 2021 (-19 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Nov 18, 2008, registered Nov 14, 2008 (-4 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address