DFX Intelligence
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Registered advisor
J•••••• M••••••
Feed of 09/14/2026
Also filed as J•••••• M••••••••• M••••••••• M• M••••••••• M• M••••••••• M••••••
At current firm
0 y
since Nov 5, 2025
In the industry
21 y
since Dec 7, 2004 (earliest exam, job or registration)
Prior registered firms
7
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
- L•• F•••••••• L•• BD affiliated currentsince Nov 5, 2025 · Long Beach, Ca
- J••• M••••• S••••••••• L•• wirehouseJan 27, 2021 to Aug 5, 2025 · La Palma,, Ca
- A•••••• A••••••• S••••••• formerJan 30, 2019 to Dec 8, 2020 · La Jolla, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 18, 2013 to Mar 8, 2017 · Seal Beach, Ca
- E•••••••• A•••••••• L•• national BDMar 15, 2011 to Jun 13, 2012 · Irvine, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Feb 23, 2010 · Los Alamitos, Ca
- W••• I••••••••• I••• unclassifiedMay 11, 2005 to May 2, 2009 · Los Alamitos, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJan 1, 2005 to Feb 23, 2005 · Long Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to L•• F•••••••• L••left Aug 5, 2025, registered Nov 5, 2025 (92 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- A•••••• A••••••• S••••••• to J••• M••••• S••••••••• L••left Dec 8, 2020, registered Jan 27, 2021 (50 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A•••••• A••••••• S•••••••left Mar 8, 2017, registered Jan 30, 2019 (693 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 13, 2012, registered Sep 18, 2013 (462 days) · Affiliated broker-dealer or bank to wirehouse
- C•••• I••••••••• S••••••• C•••• to E•••••••• A•••••••• L••left Feb 23, 2010, registered Mar 15, 2011 (385 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to W••• I••••••••• I•••left Feb 23, 2005, registered May 11, 2005 (77 days) · Other
Signals
- ••• LockedAug 5, 2025 · 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address