DFX Intelligence

RIA Intelligence

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Registered advisor

J••• N••••• P•••••••

C••••••••• F•••••••• N••••••national BDWaltham, Madual registrantIAPD 3181130

Certified Financial Planner

Feed of 09/14/2026

At current firm

1 y

since Mar 31, 2025

In the industry

27 y

since Feb 16, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••••• F•••••••• N•••••• national BD current
since Mar 31, 2025 · Waltham, Ma
O•••• W•••••• I••• BD affiliated
Oct 11, 2024 to Apr 7, 2025 · Scottsdale, Az
A••••••• P••••••••• A•••••••• I•• former
Dec 13, 2010 to Oct 11, 2024 · Holbrook, Ny
E•••••••• A•••••••• L•• national BD
Feb 28, 2008 to Dec 16, 2010 · Rochester, Ny

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to C••••••••• F•••••••• N••••••
left Apr 7, 2025, registered Mar 31, 2025 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
A••••••• P••••••••• A•••••••• I•• to O•••• W•••••• I•••
left Oct 11, 2024, registered Oct 11, 2024 (0 days) · corporate re-registration, not a move
E•••••••• A•••••••• L•• to A••••••• P••••••••• A•••••••• I••
left Dec 16, 2010, registered Dec 13, 2010 (-3 days) · Other

Signals

J••• N••••• P••••••• left O•••• W•••••• I••• for C••••••••• F•••••••• N•••••• (registered 2025-03-31)
Apr 7, 2025 · Advisor changed firm · fact

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: 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