DFX Intelligence
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Registered advisor
J••••• P•••••
Feed of 09/14/2026
Also filed as J••••• W•••• P•••••
At current firm
3 y
since Jul 28, 2023
In the industry
27 y
since Jan 20, 1999 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
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•••••• S••••• • C••• I••• national BD currentsince Jul 28, 2023 · Austin, Tx
- S•••••••• A••••••• L•• national BDJul 6, 2004 to Sep 29, 2017 · Sugar Land, Tx
- C•••• I••••••••• S••••••• C•••• formerFeb 23, 2004 to Jun 10, 2004 · Dallas, Tx
- T• A••••••••• I••• formerDec 18, 2003 to Jan 8, 2004 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseSep 24, 2001 to May 24, 2002 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Sep 29, 2017, registered Jul 28, 2023 (2128 days) · Affiliated broker-dealer or bank to another · moved with a team
- C•••• I••••••••• S••••••• C•••• to S•••••••• A••••••• L••left Jun 10, 2004, registered Jul 6, 2004 (26 days) · Other
- T• A••••••••• I••• to C•••• I••••••••• S••••••• C••••left Jan 8, 2004, registered Feb 23, 2004 (46 days) · Other
- U•• F•••••••• S••••••• I••• to T• A••••••••• I•••left May 24, 2002, registered Dec 18, 2003 (573 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address