DFX Intelligence
RIA Intelligence
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Registered advisor
J••••• M•••• R•••
Feed of 09/15/2026
At current firm
8 y
since Oct 23, 2017
In the industry
25 y
since Sep 22, 2000 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
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••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 23, 2017 · Old Saybrook, Ct
- U•• F•••••••• S••••••• I••• wirehouseMar 20, 2008 to Oct 31, 2017 · New London, Ct
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Mar 25, 2008 · Madison, Ct
- A• G• E•••••• • S•••• I••• unclassifiedFeb 22, 2002 to Jan 1, 2008 · St. Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 31, 2017, registered Oct 23, 2017 (-8 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Mar 25, 2008, registered Mar 20, 2008 (-5 days) · Wirehouse to wirehouse
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address