DFX Intelligence
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Registered advisor
D•••• J••• L•••
Feed of 09/15/2026
At current firm
8 y
since Jul 31, 2018
In the industry
17 y
since Dec 23, 2008 (earliest exam, job or registration)
Prior registered firms
3
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
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jul 31, 2018 · Worcester, Ma
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedAug 16, 2016 to Jul 19, 2018 · St. Petersburg, Fl
- R•••••• J•••• • A••••••••• I••• national BDMay 6, 2011 to Jun 6, 2016 · St. Petersburg, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedAug 20, 2009 to Apr 25, 2011 · St. Petersburg, Fl
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to R•••••• J•••• • A••••••••• I•••left Jul 19, 2018, registered Jul 31, 2018 (12 days) · Affiliated broker-dealer or bank to another · moved with a team
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 6, 2016, registered Aug 16, 2016 (71 days) · Other · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to R•••••• J•••• • A••••••••• I•••left Apr 25, 2011, registered May 6, 2011 (11 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address