DFX Intelligence
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Registered advisor
M••••••• R• J•••••
Feed of 09/14/2026
Also filed as M••••••• R••• M••••••••• R••• J•••••
At current firm
5 y
since Sep 13, 2021
In the industry
30 y
since Mar 11, 1996 (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
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
- J••• M••••• S••••••••• L•• wirehouse currentsince Sep 13, 2021 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseMay 5, 2009 to Jul 14, 2021 · La Jolla, Ca
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to J••• M••••• S••••••••• L••left Jul 14, 2021, registered Sep 13, 2021 (61 days) · Wirehouse to wirehouse · moved with a team
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
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address