DFX Intelligence
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Registered advisor
J•••• A••••• Z••••••
Feed of 09/14/2026
At current firm
6 y
since Sep 4, 2020
In the industry
22 y
since Sep 3, 2004 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
current registrations
Exams
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
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Aug 15, 2025 · Scottsdale, Az
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Sep 4, 2020 · Scottsdale, Az
- U•• F•••••••• S••••••• I••• wirehouseFeb 29, 2008 to Sep 15, 2020 · Scottsdale, Az
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Mar 7, 2008 · Scottsdale, Az
- M••••• S•••••• D• I••• unclassifiedSep 22, 2006 to Apr 2, 2007 · Scottsdale, Az
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to R••••••••• C•••••• M•••••••••left Sep 15, 2020, registered Sep 4, 2020 (-11 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left Mar 7, 2008, registered Feb 29, 2008 (-7 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address