DFX Intelligence
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Registered advisor
D•••• J••• M•••••••
Feed of 09/15/2026
Also filed as D• J• M•••••••
At current firm
1 y
since Mar 31, 2025
In the industry
22 y
since Aug 17, 2004 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Alpharetta, Ga
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 15, 2019 to Mar 31, 2025 · Atlanta, Ga
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to Mar 12, 2019 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerMar 3, 2015 to Jan 8, 2018 · Atlanta, Ga
- S•••••••• A••••••• L•• national BDJun 20, 2013 to Jan 2, 2015 · Houston, Tx
- M•• F•••••••• S•••••••• I••• formerMar 28, 2011 to May 21, 2013 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- U••• I••••••••• S••••••• C•••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 12, 2019, registered Mar 15, 2019 (3 days) · Affiliated broker-dealer or bank to another
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to U••• F•••••••• P••••••• S•••••••left Jan 2, 2015, registered Mar 3, 2015 (60 days) · Other
- M•• F•••••••• S•••••••• I••• to S•••••••• A••••••• L••left May 21, 2013, registered Jun 20, 2013 (30 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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address