DFX Intelligence
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Registered advisor
J•••••• M• M••••
R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedCincinnati, Ohdual registrantIAPD 2783534
Feed of 09/14/2026
Also filed as J•••••• M• M••••••••• M••••
At current firm
1 y
since Jan 30, 2025
In the industry
30 y
since Sep 12, 1996 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jan 30, 2025 · Cincinnati, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 10, 2021 to Dec 16, 2024 · Cincinnati, Oh
- L•• F•••••••• L•• BD affiliatedMar 1, 2021 to Dec 22, 2021 · Cincinnati, Oh
- E••••• J•••• national BDJul 8, 2016 to Mar 2, 2021 · Cincinnati, Oh
- T• A••••••••• I••• formerApr 7, 2014 to Aug 2, 2016 · Cincinnati, Oh
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 7, 2014 to Aug 2, 2016 · Cincinnati, Oh
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 16, 2024, registered Jan 30, 2025 (45 days) · Wirehouse to affiliated broker-dealer or bank
- L•• F•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 22, 2021, registered Dec 10, 2021 (-12 days) · Affiliated broker-dealer or bank to wirehouse
- E••••• J•••• to L•• F•••••••• L••left Mar 2, 2021, registered Mar 1, 2021 (-1 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Aug 2, 2016, registered Apr 7, 2014 (-848 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Aug 2, 2016, registered Apr 7, 2014 (-848 days) · channel change inside one enterprise, not a move
Signals
- ••• LockedDec 16, 2024 · 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address