DFX Intelligence
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Registered advisor
C••••••• A•••• L•••••
Feed of 09/14/2026
Also filed as C••••••• A•••• R••••••••• L•••••
At current firm
3 y
since May 9, 2023
In the industry
20 y
since Apr 17, 2006 (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, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince May 9, 2023 · Phoenix, Az
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedNov 5, 2021 to Jan 12, 2023 · Scottsdale, Az
- R•••••• J•••• • A••••••••• I••• national BDJan 14, 2020 to Nov 24, 2021 · St. Petersburg, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedAug 1, 2017 to Dec 31, 2019 · Scottsdale, Az
- J••• M••••• S••••••••• L•• wirehouseMar 21, 2013 to Apr 19, 2017 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C•••••• S••••• • C••• I•••left Jan 12, 2023, registered May 9, 2023 (117 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 24, 2021, registered Nov 5, 2021 (-19 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to R•••••• J•••• • A••••••••• I•••left Dec 31, 2019, registered Jan 14, 2020 (14 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 19, 2017, registered Aug 1, 2017 (104 days) · Other
Signals
- ••• LockedJan 12, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address