DFX Intelligence
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Registered advisor
J••••••• A• F••••••
Feed of 09/15/2026
Also filed as J••••••• A•• H•••••• •••••••• A• H••••••••• A• F••••••••• F••••••
At current firm
3 y
since Aug 21, 2023
In the industry
24 y
since Aug 10, 2002 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
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
- S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Aug 21, 2023 · Stamford, Ct
- M••••• S•••••• wirehouseJan 22, 2018 to Sep 20, 2023 · Warren, Nj
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to S•••••• P••••••• I••••••••• A•••••••• L••left Sep 20, 2023, registered Aug 21, 2023 (-30 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedSep 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