DFX Intelligence
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Registered advisor
J•••• N• D••••••
Feed of 09/15/2026
At current firm
5 y
since Apr 26, 2021
In the industry
18 y
since Nov 8, 2007 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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 Apr 26, 2021 · Seattle, Wa
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 15, 2008 to Apr 30, 2021 · Clackamas, Or
- E•••••••• A•••••••• L•• national BDNov 9, 2007 to Dec 19, 2007 · Bellevue, Wa
Moves
a registration end followed by a registration begin elsewhere
- V••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left Apr 30, 2021, registered Apr 26, 2021 (-4 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to V••• F•••••••• A•••••••• I•••left Dec 19, 2007, registered Jan 15, 2008 (27 days) · Other
Signals
No dated event on this person.
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address