DFX Intelligence
RIA Intelligence
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Registered advisor
J••••• A••••• S••••
Feed of 09/14/2026
At current firm
3 y
since Mar 30, 2023
In the industry
22 y
since Jan 13, 2004 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
6
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- E•••••••• A•••••••• L•• national BD currentsince Mar 30, 2023 · Tampa, Fl
- P•••• S••••••••• L•• no RAUMNov 9, 2007 to Dec 8, 2022 · Tampa, Fl
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to E•••••••• A•••••••• L••left Dec 8, 2022, registered Mar 30, 2023 (112 days) · Affiliated broker-dealer or bank to another
Signals
- J••••• A••••• S•••• left P•••• S••••••••• L•• for E•••••••• A•••••••• L•• (registered 2023-03-30)Dec 8, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address