DFX Intelligence
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Registered advisor
J••••••• S•••• J•••••
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as J••••••• S•••• J•••••
At current firm
12 y
since Jan 21, 2014
In the industry
27 y
since Sep 17, 1999 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65, 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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jan 21, 2014 · Carmel, In
- F•••• T•••• S••••••••• I••• BD affiliatedJan 31, 2008 to Jan 7, 2010 · Indianapolis, In
- P•••• S••••••••• L•• no RAUMOct 14, 1999 to Jul 1, 2002 · Indianapolis, In
Moves
a registration end followed by a registration begin elsewhere
- F•••• T•••• S••••••••• I••• to C••••• I••••••••• A••••••• L••left Jan 7, 2010, registered Jan 21, 2014 (1475 days) · Other
- P•••• S••••••••• L•• to F•••• T•••• S••••••••• I•••left Jul 1, 2002, registered Jan 31, 2008 (2040 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address