DFX Intelligence
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Registered advisor
J•••••• S•••• I••••••
Chartered Financial Consultant
Feed of 09/14/2026
At current firm
7 y
since Oct 1, 2018
In the industry
28 y
since Jun 25, 1998 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
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
- L•• F•••••••• L•• BD affiliated currentsince Oct 1, 2018 · Honolulu, Hi
- C••••• I••••••••• A••••••• L•• BD affiliatedApr 18, 2017 to Oct 2, 2018 · Honolulu, Hi
- L•• F•••••••• L•• BD affiliatedJul 5, 2011 to Apr 27, 2017 · Honolulu, Hi
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedApr 21, 2011 to Jul 5, 2011 · Honolulu, Hi
- L•• F•••••••• L•• BD affiliatedNov 30, 2010 to Apr 25, 2011 · Honolulu, Hi
- P•••••••• S••••••••• I••• BD affiliatedMar 23, 2005 to Dec 7, 2010 · Honolulu, Hi
- N•• E•••••• S••••••••• C••••••••• formerFeb 13, 2002 to Nov 11, 2003 · Honolulu, Hi
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Oct 2, 2018, registered Oct 1, 2018 (-1 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Apr 27, 2017, registered Apr 18, 2017 (-9 days) · Other · moved with a team
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Jul 5, 2011, registered Jul 5, 2011 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to U•••• F•••••••• S••••••• G••••• I•••left Apr 25, 2011, registered Apr 21, 2011 (-4 days) · Other
- P•••••••• S••••••••• I••• to L•• F•••••••• L••left Dec 7, 2010, registered Nov 30, 2010 (-7 days) · Other
- N•• E•••••• S••••••••• C••••••••• to P•••••••• S••••••••• I•••left Nov 11, 2003, registered Mar 23, 2005 (498 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