DFX Intelligence
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Registered advisor
P•••• R•••• J•••••••
Feed of 09/14/2026
Also filed as P•••• R•••• F••••••••• R•••• J••••••••• R•••• C••••••••• R•••• C•••••••
At current firm
2 y
since Mar 21, 2024
In the industry
23 y
since Nov 11, 2002 (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
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••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · Overland Park, Ks
- V••• F•••••••• A•••••••• I••• BD affiliatedSep 18, 2017 to Jun 14, 2019 · Windsor, Ct
- C••••• A••••••• L•• formerJul 25, 2012 to Sep 22, 2017 · Overland Park, Ks
- W•••••• • R••• formerJan 10, 2012 to Jul 18, 2012 · Overland Park, Ks
- V••• F•••••••• A•••••••• I••• BD affiliatedSep 7, 2009 to Feb 1, 2010 · Windsor, Ct
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMar 28, 2005 to Sep 5, 2007 · Fairfield, Ia
- C•••••••• I••••••••• R•••••••• I••• unclassifiedSep 16, 2003 to Mar 28, 2005 · Fairfield, Ia
Moves
a registration end followed by a registration begin elsewhere
- V••• F•••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Jun 14, 2019, registered Mar 21, 2024 (1742 days) · Affiliated broker-dealer or bank to another
- C••••• A••••••• L•• to V••• F•••••••• A•••••••• I•••left Sep 22, 2017, registered Sep 18, 2017 (-4 days) · Other
- W•••••• • R••• to C••••• A••••••• L••left Jul 18, 2012, registered Jul 25, 2012 (7 days) · Other
- V••• F•••••••• A•••••••• I••• to W•••••• • R•••left Feb 1, 2010, registered Jan 10, 2012 (708 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to V••• F•••••••• A•••••••• I•••left Sep 5, 2007, registered Sep 7, 2009 (733 days) · Other
- C•••••••• I••••••••• R•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 28, 2005, registered Mar 28, 2005 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address