DFX Intelligence
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Registered advisor
J•••••• U•••••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as J•••••• M••• S••••••••• S• U••••••••• S••••••••• U•••••••
At current firm
0 y
since Jan 12, 2026
In the industry
26 y
since Sep 20, 2000 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
2
current registrations
Exams
S65, S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Mar 5, 2026 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouse currentsince Jan 12, 2026 · Denver, Co
- M••••• S•••••• wirehouseMay 23, 2022 to Dec 15, 2025 · Greenwood Village, Co
- M••••• S•••••• wirehouseMar 4, 2016 to Sep 2, 2020 · Ft. Lauderdale, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 29, 2006 to Jul 6, 2011 · New York, Ny
- M•••••• L•••• T•••• C•••••• unclassifiedJun 20, 2006 to Nov 28, 2006 · Boca Raton, Fl
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to W•••• F•••• A•••••••left Dec 15, 2025, registered Jan 12, 2026 (28 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jul 6, 2011, registered Mar 4, 2016 (1703 days) · Wirehouse to wirehouse
- M•••••• L•••• T•••• C•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 28, 2006, registered Nov 29, 2006 (1 days) · Other
Signals
- ••• LockedDec 15, 2025 · 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address