DFX Intelligence
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Registered advisor
J••••• M•••••
Feed of 09/14/2026
Also filed as J••••• M• D••••••••• M• D••••••••• D••••••••• M••••••••• D••••••••• M••• M•••••
At current firm
8 y
since Apr 5, 2018
In the industry
19 y
since Jan 8, 2007 (earliest exam, job or registration)
Prior registered firms
5
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
- L•• F•••••••• L•• BD affiliated currentsince Apr 5, 2018 · Fort Mill, Sc
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Mar 20, 2018 · Charlotte, Nc
- M•• F•••••••• S•••••••• I••• formerSep 8, 2016 to Mar 25, 2017 · Charlotte, Nc
- M•• F•••••••• S•••••••• I••• formerAug 24, 2015 to Jul 1, 2016 · Charlotte, Nc
- U•• F•••••••• S••••••• I••• wirehouseJan 13, 2014 to Jul 21, 2015 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 26, 2013 to Dec 26, 2013 · Jacksonville, Fl
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to L•• F•••••••• L••left Mar 20, 2018, registered Apr 5, 2018 (16 days) · Other
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M•• F•••••••• S•••••••• I•••left Jul 21, 2015, registered Aug 24, 2015 (34 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Dec 26, 2013, registered Jan 13, 2014 (18 days) · Wirehouse to wirehouse
Signals
No dated event on this person.
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address