DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
C•••• M•••• J••••••
Feed of 09/14/2026
Also filed as C•••• P J••••••
At current firm
10 y
since Mar 10, 2016
In the industry
40 y
since Nov 1, 1985 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- N••••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Mar 10, 2016 · Columbus, Oh
- N••••••••• S••••••••• L•• no RAUMJul 17, 2014 to Mar 21, 2016 · Columbus, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 15, 2006 to Feb 19, 2013 · Mount Pleasant, Sc
- U•• F•••••••• S••••••• I••• wirehouseNov 10, 1999 to Aug 25, 2006 · Mt. Pleasant, Sc
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• S••••••••• L•• to N••••••••• I••••••••• A•••••••• L••left Mar 21, 2016, registered Mar 10, 2016 (-11 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N••••••••• S••••••••• L••left Feb 19, 2013, registered Jul 17, 2014 (513 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 25, 2006, registered Aug 15, 2006 (-10 days) · Wirehouse to wirehouse
Signals
No dated event on this person.
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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address