DFX Intelligence
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Registered advisor
R•••• E••••• J••••••
Feed of 09/14/2026
Also filed as R•••• E••••• J••••••••• E••••• J••••••••• J••••••••• E• J••••••
At current firm
0 y
since Oct 17, 2025
In the industry
20 y
since Jun 29, 2006 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- L•• E••••••••• L•• BD affiliated currentsince Oct 17, 2025 · Charlotte, Nc
- E••••• J•••• national BDAug 16, 2024 to Sep 16, 2025 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 8, 2018 to Jul 5, 2024 · Minneapolis, Mn
- W•••• F•••• A••••••• wirehouseJan 22, 2014 to Oct 17, 2018 · Minneapolis, Mn
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to L•• E••••••••• L••left Sep 16, 2025, registered Oct 17, 2025 (31 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Jul 5, 2024, registered Aug 16, 2024 (42 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 17, 2018, registered Nov 8, 2018 (22 days) · Wirehouse to wirehouse
Signals
- ••• LockedSep 14, 2026 · Advisor registration ended · derived
- ••• LockedSep 16, 2025 · Advisor changed firm · fact
- ••• LockedJul 5, 2024 · Advisor changed firm · fact
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
- 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