DFX Intelligence
RIA Intelligence
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Registered advisor
J••••• L••• S••••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
5 y
since Jul 14, 2021
In the industry
28 y
since Jul 20, 1998 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- A••••••• S••••••• N•••••• independent RIA currentsince Jul 14, 2021 · Greenville, Sc
- W•••• F•••• A••••••• wirehouseMay 1, 2015 to Aug 13, 2021 · Greenville, Sc
- R•••••• J•••• • A••••••••• I••• national BDOct 18, 2001 to May 18, 2015 · Greenville, Sc
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••••• S••••••• N••••••left Aug 13, 2021, registered Jul 14, 2021 (-30 days) · Wirehouse to independent RIA · moved with a team
- R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••left May 18, 2015, registered May 1, 2015 (-17 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address