DFX Intelligence
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Registered advisor
P••• J••••• S••••••••
Feed of 09/14/2026
At current firm
3 y
since May 12, 2023
In the industry
41 y
since Jun 19, 1985 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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•••••• J•••• • A••••••••• I••• national BD currentsince May 12, 2023 · Stuart, Fl
- U•• F•••••••• S••••••• I••• wirehouseJul 15, 2011 to May 22, 2023 · Stuart, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 22, 2011 · Stuart, Fl
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Stuart, Fl
- M••••• S•••••• D• I••• unclassifiedJun 23, 2005 to Apr 2, 2007 · Stuart, Fl
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left May 22, 2023, registered May 12, 2023 (-10 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Jul 22, 2011, registered Jul 15, 2011 (-7 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedMay 22, 2023 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address