DFX Intelligence
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Registered advisor
J•••• P••••••
Feed of 09/14/2026
Also filed as J• P••••••••• P•••••• P••••••••• P• P••••••
At current firm
6 y
since Aug 24, 2020
In the industry
28 y
since Feb 12, 1998 (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
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
- R•••••• J•••• • A••••••••• I••• national BD currentsince Aug 24, 2020 · Scottsdale, Az
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 17, 2018 to Aug 13, 2019 · Scottsdale, Az
- C•••••• S••••• • C••• I••• national BDMay 22, 2018 to Oct 5, 2018 · Phoenix, Az
- C•••••• S••••• • C••• I••• national BDNov 15, 2017 to Mar 7, 2018 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseApr 12, 2016 to Jun 17, 2016 · Santa Fe, Nm
- U•• F•••••••• S••••••• I••• wirehouseAug 3, 2012 to Jul 22, 2015 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to R•••••• J•••• • A••••••••• I•••left Aug 13, 2019, registered Aug 24, 2020 (377 days) · Affiliated broker-dealer or bank to another
- C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 5, 2018, registered Oct 17, 2018 (12 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to C•••••• S••••• • C••• I•••left Jun 17, 2016, registered Nov 15, 2017 (516 days) · Wirehouse to affiliated broker-dealer or bank
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address