DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
J•• C•••• L•••••••
Feed of 09/14/2026
At current firm
2 y
since Oct 13, 2023
In the industry
22 y
since Oct 30, 2003 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- D•••• P•••••• W••••• M••••••••• I••• state registered currentsince Oct 13, 2023 · Austin, Tx
- J••• M••••• S••••••••• L•• wirehouseApr 7, 2022 to Oct 25, 2022 · Austin, Tx
- M••••• S•••••• wirehouseMar 18, 2016 to Mar 18, 2022 · Honolulu, Hi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 22, 2011 to Mar 22, 2016 · Honolulu, Hi
- M••••• S•••••• wirehouseApr 19, 2010 to Feb 24, 2011 · Honolulu, Hi
- E•••••••• A•••••••• L•• national BDAug 14, 2009 to Mar 11, 2010 · Honolulu, Hi
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to D•••• P•••••• W••••• M••••••••• I•••left Oct 25, 2022, registered Oct 13, 2023 (353 days) · Wirehouse to a state-registered adviser
- M••••• S•••••• to J••• M••••• S••••••••• L••left Mar 18, 2022, registered Apr 7, 2022 (20 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Mar 22, 2016, registered Mar 18, 2016 (-4 days) · Wirehouse to wirehouse
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 24, 2011, registered Feb 22, 2011 (-2 days) · Wirehouse to wirehouse
- E•••••••• A•••••••• L•• to M••••• S••••••left Mar 11, 2010, registered Apr 19, 2010 (39 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedOct 25, 2022 · Advisor changed firm · fact
- ••• LockedMar 18, 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
- STATE REGISTEREDderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address