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•••• A••••• O•••••
Feed of 09/14/2026
Also filed as J•••• A O•••••
At current firm
10 y
since Mar 1, 2016
In the industry
19 y
since Sep 18, 2007 (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
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
- W•••• F•••• A••••••• wirehouse currentsince Mar 1, 2016 · Old Greenwich, Ct
- C••••• S••••• S••••••••• •••• L•• formerJul 8, 2009 to Mar 23, 2016 · New York, Ny
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 23, 2009 · Greenwich, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 24, 2007 to Jun 1, 2009 · Greenwich, Ct
Moves
a registration end followed by a registration begin elsewhere
- C••••• S••••• S••••••••• •••• L•• to W•••• F•••• A•••••••left Mar 23, 2016, registered Mar 1, 2016 (-22 days) · corporate re-registration, not a move
- M••••• S•••••• to C••••• S••••• S••••••••• •••• L••left Jul 23, 2009, registered Jul 8, 2009 (-15 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address