DFX Intelligence
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Registered advisor
R•••••• W•••••• J••••••
Feed of 09/15/2026
Also filed as R••• J••••••
At current firm
5 y
since Jun 14, 2021
In the industry
33 y
since May 19, 1993 (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, 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
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jun 14, 2021 · Mount Laurel, Nj
- E•••••• C•••••• M••••••••• L•• formerSep 26, 2002 to Jun 10, 2005 · Jersey City, Nj
Moves
a registration end followed by a registration begin elsewhere
- E•••••• C•••••• M••••••••• L•• to R•••••• J•••• • A••••••••• I•••left Jun 10, 2005, registered Jun 14, 2021 (5848 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address