DFX Intelligence
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Registered advisor
P•••••• M•••• J••••••
Feed of 09/14/2026
At current firm
3 y
since Sep 30, 2022
In the industry
27 y
since May 1, 1999 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Sep 30, 2022 · Roanoke, Va
- W•••• F•••• A••••••• wirehouseOct 15, 2007 to Aug 25, 2022 · Minneapolis, Mn
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••left Aug 25, 2022, registered Sep 30, 2022 (36 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
Signals
- ••• LockedAug 25, 2022 · 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
- 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