DFX Intelligence
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Registered advisor
C•••••• J•••• S••••
Feed of 09/22/2026
Also filed as C•••••• S••••••••• S••••••••• J•••• S••••••••• J•••• S••••••••• J• S••••
At current firm
1 y
since Apr 23, 2025
In the industry
34 y
since Aug 13, 1992 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Apr 23, 2025 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseMar 30, 2021 to Apr 22, 2025 · Summit, Nj
- W•••• F•••• A••••••• wirehouseFeb 20, 2019 to Mar 25, 2021 · Minneapolis, Mn
- P•• W••••• M••••••••• BD affiliatedNov 26, 2012 to Aug 19, 2014 · Little Falls, Nj
- M••••• S•••••• wirehouseFeb 23, 2011 to Oct 25, 2012 · Short Hills, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 10, 2004 to Jun 9, 2004 · Morristown, Nj
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to M••••• S••••••left Apr 22, 2025, registered Apr 23, 2025 (1 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Mar 25, 2021, registered Mar 30, 2021 (5 days) · Wirehouse to wirehouse · moved with a team
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Aug 19, 2014, registered Feb 20, 2019 (1646 days) · Other
- M••••• S•••••• to P•• W••••• M•••••••••left Oct 25, 2012, registered Nov 26, 2012 (32 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jun 9, 2004, registered Feb 23, 2011 (2450 days) · Wirehouse to wirehouse
Signals
- ••• LockedApr 22, 2025 · 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
- Wirehousederived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address