DFX Intelligence
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Registered advisor
J••••••• O••••• D••••••
Feed of 09/15/2026
Also filed as J•• O••••••••• L••• O••••••••• L••• O••••••••• L••• O••••••••• L• D••••••••• D••••••••• D••••••••• O••••• D••••••
At current firm
4 y
since Nov 19, 2021
In the industry
27 y
since Jun 7, 1999 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Nov 19, 2021 · Springfield, Ma
- L•• F•••••••• L•• BD affiliatedJun 25, 2019 to Aug 13, 2021 · Fort Mill, Sc
- M•• I•••••••• S•••••••• L•• BD affiliatedJul 19, 2018 to Jun 4, 2019 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 28, 2014 to Feb 17, 2017 · Charlotte, Nc
- U•• F•••••••• S••••••• I••• wirehouseJan 22, 2009 to May 22, 2014 · Charlotte, Nc
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 7, 2007 to Jan 23, 2009 · Raleigh, Nc
- P•••• S••••••••• L•• no RAUMMay 8, 2006 to Jan 17, 2007 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to M•• I•••••••• S•••••••• L••left Aug 13, 2021, registered Nov 19, 2021 (98 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to L•• F•••••••• L••left Jun 4, 2019, registered Jun 25, 2019 (21 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• I•••••••• S•••••••• L••left Feb 17, 2017, registered Jul 19, 2018 (517 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 22, 2014, registered May 28, 2014 (6 days) · Wirehouse to wirehouse
- A••••••••• F•••••••• S•••••••• L•• to U•• F•••••••• S••••••• I•••left Jan 23, 2009, registered Jan 22, 2009 (-1 days) · Affiliated broker-dealer or bank to wirehouse
- P•••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jan 17, 2007, registered Feb 7, 2007 (21 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address