DFX Intelligence
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Registered advisor
C••••••••• J••• C••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
5 y
since Jul 7, 2021
In the industry
31 y
since Nov 28, 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
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 Jul 7, 2021 · Cottonwood Heights, Ut
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 14, 2018 to Jul 8, 2021 · Carmichael, Ca
- T• A••••••••• I••• formerJun 14, 2018 to Jul 7, 2021 · Carmichael, Ca
- M••••• G••••• A••••••• I••• independent RIAJan 22, 2018 to Jun 4, 2018 · Santa Barbara, Ca
- S•••••••• A••••••• L•• national BDNov 25, 1998 to Jan 26, 2018 · Sacramento, Ca
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Jul 8, 2021, registered Jul 7, 2021 (-1 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 7, 2021, registered Jun 14, 2018 (-1119 days) · channel change inside one enterprise, not a move · moved with a team
- M••••• G••••• A••••••• I••• to T• A••••••••• I•••left Jun 4, 2018, registered Jun 14, 2018 (10 days) · Other
- S•••••••• A••••••• L•• to M••••• G••••• A••••••• I•••left Jan 26, 2018, registered Jan 22, 2018 (-4 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address