DFX Intelligence
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Registered advisor
J•• S•••••• A•••
Feed of 09/15/2026
At current firm
3 y
since Mar 28, 2023
In the industry
33 y
since Jul 7, 1993 (earliest exam, job or registration)
Prior registered firms
4
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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 28, 2023 · Boca Raton, Fl
- S••••• F•••••••• G•••• I•• formerJun 30, 2010 to May 20, 2021 · Boca Raton, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 12, 2009 to Jun 30, 2010 · Roseland, Nj
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedDec 10, 2002 to Jan 12, 2009 · Roseland, Nj
- W•••• F•••• A••••••• wirehouseAug 1, 2001 to Oct 30, 2002 · Morristown, Nj
Moves
a registration end followed by a registration begin elsewhere
- S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••left May 20, 2021, registered Mar 28, 2023 (677 days) · corporate re-registration, not a move
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S••••• F•••••••• G•••• I••left Jun 30, 2010, registered Jun 30, 2010 (0 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 12, 2009, registered Jan 12, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S•••••••• I•••left Oct 30, 2002, registered Dec 10, 2002 (41 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