DFX Intelligence
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Feed of 09/15/2026
Also filed as J•••• L••••••••• J• L•••
At current firm
7 y
since Dec 6, 2018
In the industry
19 y
since Jan 17, 2007 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- F••••• I••••••••• independent RIA currentsince Dec 6, 2018 · Yutan, Ne
- C•••••• S••••• • C••• I••• national BDAug 21, 2017 to Dec 12, 2018 · Omaha, Ne
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 24, 2011 to Aug 15, 2017 · Omaha, Ne
- T• A••••••••• I••• formerOct 24, 2011 to Aug 15, 2017 · Omaha, Ne
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to F••••• I•••••••••left Dec 12, 2018, registered Dec 6, 2018 (-6 days) · Affiliated broker-dealer or bank to independent RIA
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Aug 15, 2017, registered Aug 21, 2017 (6 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Aug 15, 2017, registered Oct 24, 2011 (-2122 days) · channel change inside one enterprise, not a move
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address