DFX Intelligence
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Registered advisor
J•••• D•••• L•••••
Feed of 09/14/2026
At current firm
6 y
since Jun 5, 2020
In the industry
22 y
since Sep 30, 2003 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- L•• F•••••••• L•• BD affiliated currentsince Jun 5, 2020 · Saint Johnsbury, Vt
- W•••• F•••• A••••••• wirehouseNov 18, 2011 to Jun 8, 2020 · St Johnsbury, Vt
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Nov 18, 2011 · St. Johnsbury, Vt
- A• G• E•••••• • S•••• I••• unclassifiedDec 5, 2005 to Jan 1, 2008 · St. Johnsbury, Vt
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jun 8, 2020, registered Jun 5, 2020 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Nov 18, 2011, registered Nov 18, 2011 (0 days) · channel change inside one enterprise, not a move
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address