DFX Intelligence
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Registered advisor
R•••• J••••• P••••••••
Feed of 09/14/2026
At current firm
10 y
since Sep 21, 2016
In the industry
32 y
since Jul 13, 1994 (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
S66, 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
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Sep 21, 2016 · Richmond, Va
- W•••• F•••• A••••••• wirehouseJan 18, 2006 to Nov 27, 2007 · St. Louis, Mo
- C•••••• S••••• • C••• I••• national BDAug 30, 2005 to Feb 1, 2006 · Richmond, Va
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••left Nov 27, 2007, registered Sep 21, 2016 (3221 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C•••••• S••••• • C••• I••• to W•••• F•••• A•••••••left Feb 1, 2006, registered Jan 18, 2006 (-14 days) · Affiliated broker-dealer or bank to wirehouse
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address