DFX Intelligence
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Registered advisor
A••••• J•••• L••••••
Feed of 09/14/2026
Also filed as A••• J•••• L••••••
At current firm
1 y
since Jan 15, 2025
In the industry
24 y
since Oct 25, 2001 (earliest exam, job or registration)
Prior registered firms
5
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
- C••••••••• F•••••••• N•••••• national BD currentsince Jan 15, 2025 · Peru, Ny
- O•••• W•••••• I••• BD affiliatedJun 14, 2024 to Jan 17, 2025 · Plattsburgh, Ny
- S••••••••• A•••••• A•••••••• I••• formerNov 28, 2016 to Jun 14, 2024 · Plattsburgh, Ny
- I••••• F•••••••• C••••••••• formerJul 18, 2012 to Oct 31, 2016 · St Regis Falls, Ny
- H••• S••••••••• •••• I••• BD affiliatedAug 22, 2008 to Jul 18, 2012 · Plattsburgh, Ny
- C••••••• S••••••••• I••• BD affiliatedMay 24, 2007 to Jul 3, 2008 · Plattsburgh, Ny
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to C••••••••• F•••••••• N••••••left Jan 17, 2025, registered Jan 15, 2025 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- I••••• F•••••••• C••••••••• to S••••••••• A•••••• A•••••••• I•••left Oct 31, 2016, registered Nov 28, 2016 (28 days) · Other
- H••• S••••••••• •••• I••• to I••••• F•••••••• C•••••••••left Jul 18, 2012, registered Jul 18, 2012 (0 days) · Other
- C••••••• S••••••••• I••• to H••• S••••••••• •••• I•••left Jul 3, 2008, registered Aug 22, 2008 (50 days) · Other
Signals
- ••• LockedJan 17, 2025 · 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