DFX Intelligence
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Registered advisor
J••• C•••••••• A••••
Feed of 09/14/2026
Also filed as J••• C• A••••
At current firm
2 y
since Jun 14, 2024
In the industry
33 y
since Jan 21, 1993 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
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
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Tacoma, Wa
- S••••••••• A•••••• A•••••••• I••• formerSep 18, 2020 to Jun 14, 2024 · Federal Way, Wa
- S•• A•••••••• I••• formerMay 17, 2010 to Sep 18, 2020 · Federal Way, Wa
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 3, 2010 · Tacoma, Wa
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 22, 2002 to Jun 1, 2009 · Tacoma, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 25, 1993 to Nov 27, 2002 · Federal Way, Wa
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- S•• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Sep 18, 2020, registered Sep 18, 2020 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to S•• A•••••••• I•••left Jun 3, 2010, registered May 17, 2010 (-17 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Nov 27, 2002, registered Nov 22, 2002 (-5 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address