DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
J•••• C••••••••• R•••••
Feed of 09/14/2026
At current firm
7 y
since Feb 22, 2019
In the industry
28 y
since Mar 10, 1998 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
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
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Feb 22, 2019 · Glendale, Az
- L•• F•••••••• L•• BD affiliatedApr 11, 2014 to Feb 27, 2019 · Sun City, Az
- V••• I••••••••• M••••••••• C•• L•• asset managerJun 19, 2012 to Apr 24, 2014 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 27, 2019, registered Feb 22, 2019 (-5 days) · RIA to affiliated broker-dealer or bank · moved with a team
- V••• I••••••••• M••••••••• C•• L•• to L•• F•••••••• L••left Apr 24, 2014, registered Apr 11, 2014 (-13 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address