DFX Intelligence
RIA Intelligence
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Registered advisor
R•••• S•• J•••••
Feed of 09/14/2026
At current firm
16 y
since Mar 3, 2010
In the industry
27 y
since Oct 23, 1998 (earliest exam, job or registration)
Prior registered firms
2
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Mar 3, 2010 · Somersworth, Nh
- O••••••••• • C•• I••• BD affiliatedJan 2, 2009 to Dec 31, 2009 · Portsmouth, Nh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 22, 2006 to Jan 6, 2009 · Manchester, Nh
Moves
a registration end followed by a registration begin elsewhere
- O••••••••• • C•• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 31, 2009, registered Mar 3, 2010 (62 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O••••••••• • C•• I•••left Jan 6, 2009, registered Jan 2, 2009 (-4 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address