DFX Intelligence
RIA Intelligence
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Registered advisor
J•••• J••••• M•••••
Feed of 09/15/2026
At current firm
7 y
since Mar 15, 2019
In the industry
25 y
since Nov 28, 2000 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- E•• F•••••••• A••••••• independent RIA currentsince Mar 15, 2019 · Addison, Tx
- C••••••• S••••••••• I••• BD affiliatedOct 8, 2008 to Jun 14, 2011 · Smithfield, Ri
- J••• H•••••• D••••••••• L•• unclassifiedNov 20, 2003 to Dec 31, 2006 · Santa Barbara, Ca
- C••••• I••••••••• S••••••• L•• formerApr 12, 2002 to Jul 28, 2003 · Vancouver, Wa
Moves
a registration end followed by a registration begin elsewhere
- C••••••• S••••••••• I••• to E•• F•••••••• A•••••••left Jun 14, 2011, registered Mar 15, 2019 (2831 days) · Other
- J••• H•••••• D••••••••• L•• to C••••••• S••••••••• I•••left Dec 31, 2006, registered Oct 8, 2008 (647 days) · Other
- C••••• I••••••••• S••••••• L•• to J••• H•••••• D••••••••• L••left Jul 28, 2003, registered Nov 20, 2003 (115 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address