DFX Intelligence
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Registered advisor
A••••• J• P••••••
Feed of 09/14/2026
Also filed as A••••• J• S••••••••• J• U•••••
At current firm
1 y
since Aug 12, 2025
In the industry
19 y
since Jul 27, 2007 (earliest exam, job or registration)
Prior registered firms
4
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Aug 12, 2025 · Saint Paul, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDSep 20, 2010 to Nov 7, 2019 · Minneapolis, Mn
- W•••• F•••• A••••••• wirehouseSep 18, 2008 to Aug 30, 2010 · Columbia, Sc
- T••••••• I••••••••• M••••••••• I••• BD affiliatedDec 20, 2007 to Sep 16, 2008 · Columbia, Sc
- E••••• J•••• national BDAug 8, 2007 to Dec 10, 2007 · Belle Fourche, Sd
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to U••• B•••••• A•••••••• L••left Nov 7, 2019, registered Aug 12, 2025 (2105 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Aug 30, 2010, registered Sep 20, 2010 (21 days) · Wirehouse to affiliated broker-dealer or bank
- T••••••• I••••••••• M••••••••• I••• to W•••• F•••• A•••••••left Sep 16, 2008, registered Sep 18, 2008 (2 days) · Other
- E••••• J•••• to T••••••• I••••••••• M••••••••• I•••left Dec 10, 2007, registered Dec 20, 2007 (10 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address