DFX Intelligence
RIA Intelligence
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Registered advisor
P•••••• J•••• C••••
Feed of 09/14/2026
At current firm
15 y
since Jan 3, 2011
In the industry
27 y
since Dec 24, 1998 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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••••••••• F•••••••• N•••••• national BD currentsince Jan 3, 2011 · West Hartford, Ct
- S••••• A••• I••••••••• A•••••• S•••••••• I••• formerJan 4, 2010 to Dec 31, 2010 · Windsor, Ct
Moves
a registration end followed by a registration begin elsewhere
- S••••• A••• I••••••••• A•••••• S•••••••• I••• to C••••••••• F•••••••• N••••••left Dec 31, 2010, registered Jan 3, 2011 (3 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address