DFX Intelligence
RIA 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•••• J••• A•••••
Feed of 09/14/2026
At current firm
0 y
since Mar 10, 2026
In the industry
16 y
since Dec 19, 2009 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince Mar 10, 2026 · Minneapolis, Mn
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Mar 9, 2026 · Minneapolis, Mn
- W•••• F•••• I••••••••• L•• unclassifiedMay 3, 2010 to Jan 3, 2011 · Minneapolis, Mn
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left Mar 9, 2026, registered Mar 10, 2026 (1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
Signals
- J•••• J••• A••••• left W•••• F•••• A••••••• for R•• C•••••• M••••••• L•• (registered 2026-03-10)Mar 9, 2026 · 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address