DFX Intelligence
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Registered advisor
C•••••• J• C•••••••
Feed of 09/14/2026
Also filed as C•••••• J• C••••••••• C••••••••• J•••• C•••••••
At current firm
3 y
since May 5, 2023
In the industry
16 y
since Jan 1, 2010 (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
1
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince May 5, 2023 · Glenview, Il
- P••• A••••• S••••••••• L•• BD affiliatedJan 28, 2022 to Mar 22, 2023 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- P••• A••••• S••••••••• L•• to J••• M••••• S••••••••• L••left Mar 22, 2023, registered May 5, 2023 (44 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- C•••••• J• C••••••• left P••• A••••• S••••••••• L•• for J••• M••••• S••••••••• L•• (registered 2023-05-05)Mar 22, 2023 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address