DFX Intelligence
RIA Intelligence
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Registered advisor
J••••• D••••• M•••••••
Feed of 09/14/2026
Also filed as J••••• D M•••••••
At current firm
0 y
since Sep 30, 2025
In the industry
42 y
since Aug 1, 1984 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
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••••• P••••••• L•• independent RIA currentsince Sep 30, 2025 · Albany, Ny
- G•••••••• L•• formerDec 2, 2021 to Oct 3, 2025 · Albany, Ny
Moves
a registration end followed by a registration begin elsewhere
- G•••••••• L•• to C••••• P••••••• L••left Oct 3, 2025, registered Sep 30, 2025 (-3 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address