DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

J••• F•••• D•••••

N••• C•••••••••BD affiliatedBoca Raton, Fl dual registrantIAPD 4533488

Feed of 09/15/2026

Also filed as J••• F•••• D•••••

At current firm

4 y

since Oct 18, 2021

In the industry

23 y

since Sep 23, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

N••• C••••••••• BD affiliated current
since Oct 18, 2021 · Boca Raton, Fl
C••••• A••••••• L•• former
Apr 15, 2013 to Oct 19, 2021 · New York, Ny
G•••••• F•••••••• C•••• former
Jan 27, 2012 to Apr 18, 2013 · New York, Ny
C•••• I••••••••• S••••••• C•••• former
Apr 10, 2007 to Feb 6, 2012 · New York, Ny
W•••• F•••• A••••••• wirehouse
Mar 9, 2005 to Dec 15, 2005 · Elizabeth, Nj
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 2, 2004 to Jul 2, 2004 · Short Hills, Nj

Moves

a registration end followed by a registration begin elsewhere

C••••• A••••••• L•• to N••• C•••••••••
left Oct 19, 2021, registered Oct 18, 2021 (-1 days) · Affiliated broker-dealer or bank to another
G•••••• F•••••••• C•••• to C••••• A••••••• L••
left Apr 18, 2013, registered Apr 15, 2013 (-3 days) · Other
C•••• I••••••••• S••••••• C•••• to G•••••• F•••••••• C••••
left Feb 6, 2012, registered Jan 27, 2012 (-10 days) · Other
W•••• F•••• A••••••• to C•••• I••••••••• S••••••• C••••
left Dec 15, 2005, registered Apr 10, 2007 (481 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
left Jul 2, 2004, registered Mar 9, 2005 (250 days) · Wirehouse to wirehouse

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: Broker-dealer affiliated wealth managerderived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address