DFX Intelligence
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Registered advisor
C••••• J••••• A•••••
Feed of 09/15/2026
Also filed as C••••• A••••••••• J••••• A••••••••• A•••••
At current firm
3 y
since Oct 25, 2022
In the industry
22 y
since Mar 8, 2004 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
5
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
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 25, 2022 · Southport, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 20, 2007 to Sep 28, 2022 · Los Angeles, Ca
- F•• S••••••••• C••••••••• formerNov 30, 2005 to Mar 12, 2007 · New Orleans, La
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 3, 2004 to Mar 9, 2005 · Baton Rouge, La
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Sep 28, 2022, registered Oct 25, 2022 (27 days) · Wirehouse to wirehouse
- F•• S••••••••• C••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 12, 2007, registered Mar 20, 2007 (8 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F•• S••••••••• C•••••••••left Mar 9, 2005, registered Nov 30, 2005 (266 days) · Other
Signals
- ••• LockedSep 28, 2022 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address