DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
J••• D• R•••
Feed of 09/14/2026
Also filed as J••• R•••••••• D• R•••
At current firm
3 y
since Feb 3, 2023
In the industry
22 y
since Mar 1, 2004 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Feb 3, 2023 · Indianapolis, In
- J••• M••••• S••••••••• L•• wirehouseDec 23, 2020 to Nov 22, 2022 · Indianapolis, In
- R•••••• J•••• • A••••••••• I••• national BDOct 7, 2004 to Oct 9, 2020 · Anderson, In
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to C•••••• S••••• • C••• I•••left Nov 22, 2022, registered Feb 3, 2023 (73 days) · Wirehouse to affiliated broker-dealer or bank
- R•••••• J•••• • A••••••••• I••• to J••• M••••• S••••••••• L••left Oct 9, 2020, registered Dec 23, 2020 (75 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedNov 22, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
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