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••••••• A••••••• D•••••••
Feed of 09/14/2026
Also filed as J••••••• A• D•••••••
At current firm
13 y
since Apr 23, 2013
In the industry
20 y
since May 30, 2006 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- F•••• T•••• S••••••••• I••• BD affiliated currentsince Apr 23, 2013 · Cincinnati, Oh
- S•••••••• A••••••• L•• national BDJan 29, 2008 to Jan 17, 2013 · Covington, Ky
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to F•••• T•••• S••••••••• I•••left Jan 17, 2013, registered Apr 23, 2013 (96 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