DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Registered advisor

C••••••••• J•• E••••••

L•• F•••••••• L••BD affiliatedSan Diego, Ca dual registrantIAPD 4645176

Feed of 09/15/2026

Also filed as C••••••••• J•• E••••••••• E••••••••• E••••••••• J• E••••••

At current firm

1 y

since Sep 26, 2024

In the industry

20 y

since Nov 7, 2005 (earliest exam, job or registration)

Prior registered firms

4

IAPD previous registrations

State registrations

1

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

L•• F•••••••• L•• BD affiliated current
since Sep 26, 2024 · Rocky River, Oh

A••••••••• F•••••••• S•••••••• L•• national BD
Jul 7, 2017 to Oct 3, 2024 · Rocky River, Oh
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Jun 22, 2009 to Apr 13, 2017 · Medina, Oh
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 19, 2007 to Jan 2, 2009 · New York, Ny
M••••• S•••••• D• I••• unclassified
Nov 8, 2005 to Jun 5, 2006 · West Lake, Oh

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••
left Oct 3, 2024, registered Sep 26, 2024 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to A••••••••• F•••••••• S•••••••• L••
left Apr 13, 2017, registered Jul 7, 2017 (85 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jan 2, 2009, registered Jun 22, 2009 (171 days) · Other
M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jun 5, 2006, registered Jul 19, 2007 (409 days) · Other

Signals

••• Locked
Oct 3, 2024 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address