DFX Intelligence
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Registered advisor
R••• J•• D•••••
Feed of 09/15/2026
Also filed as R••• J•• D••••••••• J• D•••••
At current firm
11 y
since Sep 14, 2015
In the industry
20 y
since Feb 10, 2006 (earliest exam, job or registration)
Prior registered firms
6
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
- H••••••••• F•••••••• A••••••• BD affiliated currentsince Sep 14, 2015 · Columbus, Oh
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Nov 3, 2014 · Columbus, Oh
- C•••• I••••••••• S••••••• C•••• formerJun 11, 2012 to Oct 1, 2012 · Columbus, Oh
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 30, 2012 · South Jordan, Ut
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Columbus, Oh
- M••••• S•••••• D• I••• unclassifiedSep 15, 2006 to Apr 2, 2007 · New Albany, Oh
- E•••••••• A•••••••• L•• national BDFeb 13, 2006 to Aug 2, 2006 · Columbus, Oh
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to H••••••••• F•••••••• A•••••••left Nov 3, 2014, registered Sep 14, 2015 (315 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to C•••• I••••••••• S••••••• C••••left Apr 30, 2012, registered Jun 11, 2012 (42 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to M••••• S•••••• D• I•••left Aug 2, 2006, registered Sep 15, 2006 (44 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address