DFX Intelligence
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Registered advisor
J••••• P••• C••••••
Feed of 09/14/2026
Also filed as J•• C••••••
At current firm
11 y
since Nov 21, 2014
In the industry
21 y
since Mar 7, 2005 (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
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 Nov 21, 2014 · Lone Tree, Co
- L•• F•••••••• L•• BD affiliatedMar 27, 2014 to Nov 14, 2014 · Castle Rock, Co
- A••••• A•• P••••••• S••••••• BD affiliatedFeb 22, 2008 to Apr 19, 2013 · Frisco, Tx
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C•••••• S••••• • C••• I•••left Nov 14, 2014, registered Nov 21, 2014 (7 days) · Other
- A••••• A•• P••••••• S••••••• to L•• F•••••••• L••left Apr 19, 2013, registered Mar 27, 2014 (342 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address