DFX Intelligence
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Registered advisor
J••••••• D• R••••••
Feed of 09/15/2026
Also filed as J••••••• D••• R••••••••• D••• R••••••••• D••• R••••••••• D••• R••••••••• D••• R••••••
At current firm
5 y
since Sep 8, 2021
In the industry
14 y
since Nov 23, 2011 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
6
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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Sep 8, 2021 · Bellevue, Wa
- R•• C•••••• M••••••• L•• national BDJul 16, 2019 to Sep 3, 2021 · Beverly Hills, Ca
- M••••• S•••••• wirehouseNov 13, 2012 to Jul 16, 2019 · South Jordan, Ut
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 3, 2021, registered Sep 8, 2021 (5 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to R•• C•••••• M••••••• L••left Jul 16, 2019, registered Jul 16, 2019 (0 days) · Wirehouse to affiliated broker-dealer or bank
Signals
No dated event on this person.
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address