DFX Intelligence
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Registered advisor
T••••• J••••• L••••••
Feed of 09/22/2026
Also filed as T•• L••••••
At current firm
0 y
since Sep 21, 2026
In the industry
25 y
since Aug 30, 2001 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- D•••••••• A••••••• S•••••••• I••• institutional currentsince Sep 21, 2026 · Elkins Park, Pa
- C•••••• A••••••• BD affiliatedJul 28, 2014 to Jan 26, 2026 · Wyncote, Pa
- L•••••• I••••••••• independent RIAJan 7, 2014 to Jan 26, 2026 · Fort Washington, Pa
- A••••••••• F•••••••• S•••••••• L•• national BDNov 10, 2010 to Mar 6, 2012 · Orlando, Fl
- V•••• F•••••••• A•••••••• I••• BD affiliatedApr 27, 2010 to Sep 13, 2010 · Houston, Tx
- C••• W••••• M••••••••• L•• independent RIAOct 21, 2009 to Mar 22, 2010 · Scottsdale, Az
- A••••••••• F•••••••• S•••••••• L•• national BDAug 30, 2001 to Sep 8, 2009 · Scottsdale, Az
Moves
a registration end followed by a registration begin elsewhere
- C•••••• A••••••• to D•••••••• A••••••• S•••••••• I•••left Jan 26, 2026, registered Sep 21, 2026 (238 days) · Other
- L•••••• I••••••••• to C•••••• A•••••••left Jan 26, 2026, registered Jul 28, 2014 (-4200 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•••••• I•••••••••left Mar 6, 2012, registered Jan 7, 2014 (672 days) · Other
- V•••• F•••••••• A•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 13, 2010, registered Nov 10, 2010 (58 days) · Other
- C••• W••••• M••••••••• L•• to V•••• F•••••••• A•••••••• I•••left Mar 22, 2010, registered Apr 27, 2010 (36 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C••• W••••• M••••••••• L••left Sep 8, 2009, registered Oct 21, 2009 (43 days) · Affiliated broker-dealer or bank to independent RIA
Signals
- ••• LockedSep 21, 2026 · Advisor registered · 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
- Institutional managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address