DFX Intelligence
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S••••••• L•••
As of · the IAPD feed; also filed as S••••••• M••••• L•••
- At current firm
- 5 y
- In the industry
- 26 y
- Prior registered firms
- 2
- Signals
- 0
since Jan 19, 2021
As of · the IAPD feed; also filed as S••••••• M••••• L•••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Recruiter briefHow to read thisEvery line is a fact from a public record, or a measurement DFX made on the registration history of every advisor (2023 to 2025 cohorts), read for this advisor’s own firm where the sample allows. A move indicator means advisors with that fact moved more often; a retention indicator means they moved less. Neither says what this person will do. Recruiting value and movement evidence are kept apart on purpose.
facts first, then what DFX measured about them; never a statement of intent
Recruiting value
- Practice attractivenesssomepersonal book $25M to $250M (estimated); 26.3 years in the industry
- Team depthnone0 of the 0 people who once moved firms with this advisor are registered here now (a team seen in registrations; web team pages are not used until they pass review).
- Entrepreneurial profilenoneDetails are shown to subscribers.
- Real estate activitynoneDetails are shown to subscribers.
- Contactabilitypartialcatch-all email (domain accepts every address, unverifiable) at jpmorgan.com
Movement evidence
- Movement signalnone0 of 0 dated or circumstantial readings historically went with moving. The forward-tested move model places this advisor in its Baseline band.
- Recent change activitynoneDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitysome2 prior firms, median stay 2.5 years.
Career
- 26.3 years in the industry
- 5.7 years at the current firm
- 2 prior registered firms; median stay 2.5 years
- Personal book $25M to $250M (estimated)
Source: IAPD adviser registrations only (broker-only history is not in this feed)
Licensing and credentials
- Registered in 2 states (firm median 2)
- Exams: Series 63, Series 66
- Registered as a broker as well as an adviser
Source: IAPD individual feed; broker exams and states appear once the per-person record is read
Around this advisor
- 3 of about 68 in the office left in the last 180 days
- 2 known colleagues changed firms in the last year
Regulatory record
Shown to subscribers, with the official record linked.
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Jan 19, 2021 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseOct 11, 2016 to Dec 15, 2020 · Bloomington, Mn
- A••••• A•• P••••••• S••••••• BD affiliatedJan 7, 2016 to Oct 5, 2016 · St. Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Dec 15, 2020, registered Jan 19, 2021 (35 days) · Wirehouse to wirehouse
- A••••• A•• P••••••• S••••••• to W•••• F•••• A•••••••left Oct 5, 2016, registered Oct 11, 2016 (6 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote