DFX Intelligence
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Registered advisor
R•••••• J••• S••••
Personal Financial Specialist
Feed of 09/14/2026
Also filed as R•• S••••
At current firm
0 y
since Jan 2, 2026
In the industry
26 y
since Sep 1, 2000 (earliest exam, job or registration)
Prior registered firms
2
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
- N••••• P••• G•••••••• L•• state registered currentsince Jan 2, 2026 · East Hampton, Ct
- O•••• W•••••• I••• BD affiliatedMar 6, 2019 to May 4, 2023 · Farmington, Ct
- R•••••• A• N••••• • A••••••••• L•• unclassifiedFeb 10, 2016 to Mar 6, 2019 · East Hampton, Ct
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to N••••• P••• G•••••••• L••left May 4, 2023, registered Jan 2, 2026 (974 days) · Affiliated broker-dealer or bank to a state-registered adviser
- R•••••• A• N••••• • A••••••••• L•• to O•••• W•••••• I•••left Mar 6, 2019, registered Mar 6, 2019 (0 days) · Other
Signals
- ••• LockedMay 4, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- STATE REGISTEREDderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address