DFX Intelligence
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Registered advisor
J•••• R•••••• C••••••
Feed of 09/14/2026
Also filed as J•••• R•••••• C••••••••• C••••••
At current firm
19 y
since Apr 24, 2007
In the industry
28 y
since Jul 17, 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
S65, 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
- R•• C•••••• M••••••• L•• national BD currentsince Apr 24, 2007 · Rapid City, Sd
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 13, 2000 to Dec 12, 2002 · Omaha, Ne
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to R•• C•••••• M••••••• L••left Dec 12, 2002, registered Apr 24, 2007 (1594 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address