DFX Intelligence
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Registered advisor
J••••••• O••••••••• R••••
Feed of 09/14/2026
Also filed as J••••••• O••••••••• R••••••••• O•••••••• R••••••••• O•••••••• R••••••••• O•••••••• R••••
At current firm
2 y
since Jan 19, 2024
In the industry
34 y
since Nov 22, 1991 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jan 19, 2024 · Katy, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedDec 22, 2023 to Dec 31, 2023 · Katy, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 25, 2011 to Dec 21, 2023 · Houston, Tx
- C•••• I••••••••• S••••••• C•••• formerApr 24, 2009 to Dec 16, 2010 · Houston, Tx
- N••• F•••••••• G••••• I••• formerMay 8, 2008 to Apr 2, 2009 · Houston, Tx
- F•••• M••••••••• I••••••••• C••••••••• unclassifiedMar 7, 2006 to Sep 20, 2007 · Houston, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Feb 7, 2006 · Houston, Tx
- Q•••• • R•••••• I••• unclassifiedMar 31, 2003 to Oct 20, 2004 · Houston, Tx
- S•••••••• A••••••• L•• national BDOct 20, 1998 to Apr 10, 2003 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••• I••••••••• A••••••• L••left Dec 31, 2023, registered Jan 19, 2024 (19 days) · Affiliated broker-dealer or bank to another
- C•••• I••••••••• S••••••• C•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 16, 2010, registered Jan 25, 2011 (40 days) · Other
- N••• F•••••••• G••••• I••• to C•••• I••••••••• S••••••• C••••left Apr 2, 2009, registered Apr 24, 2009 (22 days) · Other
- F•••• M••••••••• I••••••••• C••••••••• to N••• F•••••••• G••••• I•••left Sep 20, 2007, registered May 8, 2008 (231 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to F•••• M••••••••• I••••••••• C•••••••••left Feb 7, 2006, registered Mar 7, 2006 (28 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to Q•••• • R•••••• I•••left Apr 10, 2003, registered Mar 31, 2003 (-10 days) · Other
Signals
- ••• LockedDec 31, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address