DFX Intelligence
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Registered advisor
M•••••• J••••• M•••••••
Feed of 09/14/2026
Also filed as M•••••• J••••• M••••••••• J• M•••••••
At current firm
7 y
since Feb 7, 2019
In the industry
27 y
since Apr 9, 1999 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
9
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
- M••••••••• R••••••••• BD affiliated currentsince Feb 7, 2019 · Washington, Dc
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 21, 2018 to Oct 9, 2018 · Omaha, Ne
- T• A••••••••• I••• formerFeb 20, 2018 to Oct 4, 2018 · Omaha, Ne
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to M••••••••• R•••••••••left Oct 9, 2018, registered Feb 7, 2019 (121 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 4, 2018, registered Feb 21, 2018 (-225 days) · channel change inside one enterprise, not a move · moved with a team
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address