DFX Intelligence
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Registered advisor
R••••• J••••• S•••••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as B•• S•••••••
At current firm
1 y
since Aug 14, 2025
In the industry
31 y
since May 12, 1995 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Aug 14, 2025 · North Andover, Ma
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJan 2, 2013 to Aug 19, 2025 · North Andover, Ma
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedSep 28, 2010 to Dec 31, 2012 · North Andover, Ma
- S••••••• F•••••••• S••••••• unclassifiedMay 4, 2005 to Dec 31, 2010 · N. Andover, Ma
- F•• S••••••••• C••••••••• formerJan 1, 2000 to Aug 15, 2005 · North Andover, Ma
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• I••••••••• R••••••• A•••••••• I••• to L•• F•••••••• L••left Aug 19, 2025, registered Aug 14, 2025 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
- S••••••• F•••••••• S••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 31, 2010, registered Sep 28, 2010 (-94 days) · Other
- F•• S••••••••• C••••••••• to S••••••• F•••••••• S•••••••left Aug 15, 2005, registered May 4, 2005 (-103 days) · Other
Signals
- ••• LockedAug 19, 2025 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address