DFX Intelligence
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Registered advisor
J•••• C••••• I••• S••••••••
Feed of 09/14/2026
Also filed as J•••• C••••• P••••••••• C••••• I••••••••• C••••• S••••••••
At current firm
4 y
since May 6, 2022
In the industry
24 y
since Oct 12, 2001 (earliest exam, job or registration)
Prior registered firms
4
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 6, 2022 · Stockton, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to May 12, 2022 · Santa Rosa, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJul 1, 2010 to Jan 3, 2011 · Stockton, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerJan 30, 2008 to Jul 7, 2010 · Stockton, Ca
- U•• F•••••••• S••••••• I••• wirehouseNov 26, 2001 to Dec 20, 2002 · Fresno, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left May 12, 2022, registered May 6, 2022 (-6 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- B••••••• I••••••••• S•••••••• I••• ••••• to W•••• F•••• I••••••••• L••left Jul 7, 2010, registered Jul 1, 2010 (-6 days) · Other
- U•• F•••••••• S••••••• I••• to B••••••• I••••••••• S•••••••• I••• •••••left Dec 20, 2002, registered Jan 30, 2008 (1867 days) · Other
Signals
- ••• LockedMay 12, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address