DFX Intelligence
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Registered advisor
J••• R• R• M•••••
Feed of 09/14/2026
Also filed as J••• M••••••••• R• M••••••••• R••••••••• M••••••••• R••••••••• M••••••••• R••••••••• M••••••••• R•••••••• M••••••••• R•••••••• M••••••••• R• R• M•••••
At current firm
0 y
since Jun 1, 2026
In the industry
18 y
since May 28, 2008 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- J••• M••••• S••••••••• L•• wirehouse currentsince Jun 1, 2026 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 3, 2020 to Oct 6, 2020 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 31, 2017 to Feb 16, 2018 · Santa Monica, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Apr 12, 2017 · Pacific Palisades, Ca
- C•••• I••••••••• S••••••• C•••• formerJun 12, 2012 to Oct 1, 2012 · Santa Ana, Ca
- C•••• I••••••••• S••••••• C•••• formerOct 4, 2010 to May 22, 2012 · Anaheim, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 19, 2010 · Los Angeles, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 28, 2008 to Jun 1, 2009 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Oct 6, 2020, registered Jun 1, 2026 (2064 days) · Wirehouse to wirehouse · moved with a team
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 12, 2017, registered Mar 31, 2017 (-12 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to C•••• I••••••••• S••••••• C••••left Jul 19, 2010, registered Oct 4, 2010 (77 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address