DFX Intelligence
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Registered advisor
D•••••• J••• M••••••••
Feed of 09/15/2026
At current firm
4 y
since Dec 8, 2021
In the industry
36 y
since Aug 30, 1990 (earliest exam, job or registration)
Prior registered firms
5
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
- W•••• F•••• A••••••• wirehouse currentsince Dec 8, 2021 · Tyler, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jan 15, 2014 · New City, Ny
- C•••• I••••••••• S••••••• C•••• formerOct 1, 2010 to Oct 1, 2012 · Croton-On-Hudson, Ny
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 28, 2010 · Westfield, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 29, 2006 to Jun 1, 2009 · Westfield, Nj
- C••••• A••••••• L•• formerJun 13, 2006 to Aug 28, 2006 · Shrewsbury, Nj
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Jan 15, 2014, registered Dec 8, 2021 (2884 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to C•••• I••••••••• S••••••• C••••left Apr 28, 2010, registered Oct 1, 2010 (156 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- C••••• A••••••• L•• to C•••••••• G••••• M•••••• I•••left Aug 28, 2006, registered Aug 29, 2006 (1 days) · Other
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
- Wirehousederived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address