DFX Intelligence
RIA Intelligence
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Registered advisor
J•••• N••••
Feed of 09/14/2026
At current firm
3 y
since Jul 19, 2023
In the industry
19 y
since Jul 27, 2007 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- L•• F•••••••• L•• BD affiliated currentsince Jul 19, 2023 · Los Angeles, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerJan 28, 2011 to Jul 19, 2023 · Torrance, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedMay 5, 2009 to Jan 21, 2011 · Palm Desert, Ca
- M••••• S•••••• • C•• L•• unclassifiedJul 30, 2007 to Apr 29, 2009 · Beverly Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- B••••••• I••••••••• S•••••••• I••• ••••• to L•• F•••••••• L••left Jul 19, 2023, registered Jul 19, 2023 (0 days) · corporate re-registration, not a move
- U••• B•••••• A•••••••• L•• to B••••••• I••••••••• S•••••••• I••• •••••left Jan 21, 2011, registered Jan 28, 2011 (7 days) · Other
- M••••• S•••••• • C•• L•• to U••• B•••••• A•••••••• L••left Apr 29, 2009, registered May 5, 2009 (6 days) · Other
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
- 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