DFX Intelligence
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Registered advisor
S••••• J••• P•••••
Feed of 09/15/2026
At current firm
0 y
since May 1, 2026
In the industry
26 y
since Oct 1, 1999 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S65, S63
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•••••• A••••••• G••••• L•• BD affiliated currentsince May 1, 2026 · Greenwood Village, Co
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Jun 30, 2020 · Boston, Ma
- S•••••••• A••••••• L•• national BDNov 9, 2006 to Jul 13, 2018 · Dunwoody, Ga
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to E•••••• A••••••• G••••• L••left Jun 30, 2020, registered May 1, 2026 (2131 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address