DFX Intelligence
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Registered advisor
J••••••• A••• J•••••••
Feed of 09/14/2026
Also filed as J••••••• A• J••••••••• A••• J••••••••• J•••••••
At current firm
4 y
since Jan 26, 2022
In the industry
32 y
since Jun 20, 1994 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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•••••• S••••• • C••• I••• national BD currentsince Jan 26, 2022 · Corte Madera, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 14, 2020 to Sep 7, 2023 · Corte Madera, Ca
- T• A••••••••• I••• formerSep 14, 2020 to Oct 14, 2022 · Corte Madera, Ca
- V•••• F•••••••• A•••••••• I••• BD affiliatedFeb 25, 2020 to Jun 30, 2020 · Oakland, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMay 12, 1998 to Dec 16, 2008 · Greenbrae, Ca
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Sep 14, 2020 (-760 days) · corporate re-registration, not a move
- V•••• F•••••••• A•••••••• I••• to T• A••••••••• I•••left Jun 30, 2020, registered Sep 14, 2020 (76 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to V•••• F•••••••• A•••••••• I•••left Dec 16, 2008, registered Feb 25, 2020 (4088 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address