DFX Intelligence
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Registered advisor
F••• J••••• L••••••
Feed of 09/15/2026
Also filed as F••• J••••• L••••••
At current firm
4 y
since Jan 25, 2022
In the industry
39 y
since Sep 3, 1987 (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
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Jan 25, 2022 · Westlake, Tx
- T• A••••••••• I••• formerJan 31, 2019 to Mar 7, 2022 · Jersey City, Nj
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 24, 2019 to Mar 7, 2022 · Jersey City, Nj
- C•••••• S••••• • C••• I••• national BDMar 15, 2006 to Jan 29, 2019 · Jersey City, Nj
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Mar 7, 2022, registered Jan 31, 2019 (-1131 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Mar 7, 2022, registered Jan 25, 2022 (-41 days) · channel change inside one enterprise, not a move · moved with a team
- C•••••• S••••• • C••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 29, 2019, registered Jan 24, 2019 (-5 days) · Affiliated broker-dealer or bank to independent RIA
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
- National broker-dealer RIAderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address