DFX Intelligence
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Registered advisor
J•••• S•••• M••••••
Feed of 09/14/2026
Also filed as S•••• M••••••
At current firm
4 y
since Nov 15, 2021
In the industry
38 y
since Sep 13, 1988 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- A••••••• S••••••• N•••••• independent RIA currentsince Nov 15, 2021 · Atlanta, Ga
- M•••••• W••••• M••••••••• unclassifiedOct 11, 2021 to Oct 26, 2021 · Chappell Hill, Tx
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedAug 10, 2009 to Oct 22, 2021 · Chappell Hill, Tx
- V•••• F•••••••• A•••••••• I••• BD affiliatedMar 16, 2006 to Aug 26, 2009 · Bryan, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 5, 2004 to Oct 5, 2005 · College Station, Tx
Moves
a registration end followed by a registration begin elsewhere
- M•••••• W••••• M••••••••• to A••••••• S••••••• N••••••left Oct 26, 2021, registered Nov 15, 2021 (20 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to M•••••• W••••• M•••••••••left Oct 22, 2021, registered Oct 11, 2021 (-11 days) · Other
- V•••• F•••••••• A•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 26, 2009, registered Aug 10, 2009 (-16 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V•••• F•••••••• A•••••••• I•••left Oct 5, 2005, registered Mar 16, 2006 (162 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
- Independent wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address