DFX Intelligence
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Registered advisor
J•••••• S•••••
Feed of 09/14/2026
Also filed as J•••••• J•••• S•••••••
At current firm
1 y
since Sep 2, 2025
In the industry
21 y
since Jul 20, 2005 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Sep 2, 2025 · Littleton, Co
- T••••••••• I••••••••• M••••••••• L•• unclassifiedOct 10, 2008 to May 23, 2011 · Denver, Co
- M•• F•••••••• S•••••••• I••• formerDec 6, 2005 to Mar 13, 2006 · Springfield, Ma
- M•••••• I••••••••• F••• S••••••• L•• unclassifiedJul 20, 2005 to Dec 31, 2005 · Denver, Co
Moves
a registration end followed by a registration begin elsewhere
- T••••••••• I••••••••• M••••••••• L•• to E•••••• A••••••• G••••• L••left May 23, 2011, registered Sep 2, 2025 (5216 days) · Other
- M•• F•••••••• S•••••••• I••• to T••••••••• I••••••••• M••••••••• L••left Mar 13, 2006, registered Oct 10, 2008 (942 days) · Other
- M•••••• I••••••••• F••• S••••••• L•• to M•• F•••••••• S•••••••• I•••left Dec 31, 2005, registered Dec 6, 2005 (-25 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address