DFX Intelligence
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Registered advisor
J•••• M• T•••••
Feed of 09/15/2026
Also filed as J•••• M•••• W••••••••• T••••••••• M• T••••••••• M•••• T•••••
At current firm
2 y
since Nov 21, 2023
In the industry
28 y
since Jul 1, 1998 (earliest exam, job or registration)
Prior registered firms
2
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Nov 21, 2023 · Bellevue, Wa
- J••• M••••• P•••••• W••••• A••••••• L•• formerAug 11, 2020 to Mar 21, 2025 · Bellevue, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 7, 2005 to Aug 14, 2020 · Bellevue, Wa
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••left Mar 21, 2025, registered Nov 21, 2023 (-486 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• P•••••• W••••• A••••••• L••left Aug 14, 2020, registered Aug 11, 2020 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
Signals
No dated event on this person.
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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address