DFX Intelligence
RIA Intelligence
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Registered advisor
J•••• P•••• S••••••
Feed of 09/15/2026
At current firm
2 y
since Jan 19, 2024
In the industry
20 y
since Jul 14, 2006 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Western Springs, Il
- W••••••• F•••••••• S•••••••• I••• formerMay 27, 2010 to Jan 19, 2024 · Burr Ridge, Il
- C••••• S••••• S••••••••• •••• L•• formerSep 17, 2008 to Feb 25, 2010 · Chicago, Il
- L••••• B••••••• I••• unclassifiedAug 3, 2006 to Sep 24, 2008 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- C••••• S••••• S••••••••• •••• L•• to W••••••• F•••••••• S•••••••• I•••left Feb 25, 2010, registered May 27, 2010 (91 days) · Other
- L••••• B••••••• I••• to C••••• S••••• S••••••••• •••• L••left Sep 24, 2008, registered Sep 17, 2008 (-7 days) · corporate re-registration, not a move
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address