DFX Intelligence
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Registered advisor
J••••••• M••• A••••
Feed of 09/15/2026
Also filed as J••••••• K••••••••• B••••••••• M• A••••••••• A••••
At current firm
2 y
since Jun 14, 2024
In the industry
28 y
since Oct 27, 1997 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
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
- W•••• F•••• A••••••• wirehouse currentsince Jun 14, 2024 · The Woodlands, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDJul 9, 2021 to Jun 20, 2024 · Houston, Tx
- W•••• F•••• A••••••• wirehouseOct 19, 2012 to Jul 15, 2021 · Houston, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Oct 22, 2012 · The Woodlands, Tx
- C•••• I••••••••• S••••••• C•••• formerApr 7, 2005 to Oct 1, 2012 · The Woodlands, Tx
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Jun 20, 2024, registered Jun 14, 2024 (-6 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jul 15, 2021, registered Jul 9, 2021 (-6 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Oct 22, 2012, registered Oct 19, 2012 (-3 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedJun 20, 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address