DFX Intelligence
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Registered advisor
J•••••• N••• M••••••••
Feed of 09/14/2026
Also filed as J•••••• N• M••••••••• M••••••••
At current firm
1 y
since Oct 21, 2024
In the industry
22 y
since Feb 10, 2004 (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, S63
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 currentsince Oct 21, 2024 · Fort Collins, Co
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedSep 1, 2021 to Nov 4, 2024 · Fort Collins, Co
- W•••• F•••• A••••••• wirehouseJan 16, 2015 to Sep 8, 2021 · Fort Collins, Co
- U••• B•••••• I••••••••• I••• formerAug 2, 2011 to Jan 20, 2015 · Greeley, Co
- C•••• I••••••••• S••••••• C•••• formerMay 28, 2008 to Aug 3, 2011 · Fort Collins, Co
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• I••••••••• R••••••• A•••••••• I••• to L•• F•••••••• L••left Nov 4, 2024, registered Oct 21, 2024 (-14 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Sep 8, 2021, registered Sep 1, 2021 (-7 days) · Wirehouse to affiliated broker-dealer or bank
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left Jan 20, 2015, registered Jan 16, 2015 (-4 days) · Other
- C•••• I••••••••• S••••••• C•••• to U••• B•••••• I••••••••• I•••left Aug 3, 2011, registered Aug 2, 2011 (-1 days) · Other
Signals
- ••• LockedNov 4, 2024 · Advisor changed firm · fact
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address