DFX Intelligence
RIA Intelligence
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Registered advisor
J•••••• F••••• C•••••••
Feed of 09/15/2026
At current firm
3 y
since Jun 30, 2023
In the industry
24 y
since Mar 1, 2002 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- H•••••••• A•••••••• L•• BD affiliated currentsince Jun 30, 2023 · Chicago, Il
- V••••••• W••••• M••••••••• formerSep 30, 2002 to Jul 20, 2023 · Portland, Me
Moves
a registration end followed by a registration begin elsewhere
- V••••••• W••••• M••••••••• to H•••••••• A•••••••• L••left Jul 20, 2023, registered Jun 30, 2023 (-20 days) · RIA to affiliated broker-dealer or bank · moved with a team
Signals
- J•••••• F••••• C••••••• left V••••••• W••••• M••••••••• for H•••••••• A•••••••• L•• (registered 2023-06-30)Jul 20, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address