DFX Intelligence
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This advisor's name
Career history, every move, licensing and registration changes, outside business activity and the contact routes the firm publishes, each with the official record linked.
Includes 3 days of DFX Intelligence. Then $249/month unless canceled.
A Financial Advisor In New York
As of · the IAPD feed
- At current firm
- 2 y
- In the industry
- 18.6 y
- Prior registered firms
- 0
- Signals
- 0
since Apr 8, 2024
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Recruiter briefHow to read thisEvery line is a fact from a public record, or a measurement DFX made on the registration history of every advisor (2023 to 2025 cohorts), read for this advisor’s own firm where the sample allows. A move indicator means advisors with that fact moved more often; a retention indicator means they moved less. Neither says what this person will do. Recruiting value and movement evidence are kept apart on purpose.
facts first, then what DFX measured about them; never a statement of intent
- Registered at a home office or regional hub (100+ registrants); office-level movement is not read for this advisor.
Recruiting value
- Practice attractivenesssome18.6 years in the industry
- Team depthnone0 of the 0 people who once moved firms with this advisor are registered here now (a team seen in registrations; web team pages are not used until they pass review).
- Entrepreneurial profilenotableNamed in the full brief.
- Real estate activitynoneNamed in the full brief.
- Contactabilitypartialcatch-all email (domain accepts every address, unverifiable) at jpmorgan.com
Movement evidence
- Movement signalnone0 of 0 dated or circumstantial readings historically went with moving. The forward-tested move model places this advisor in its Baseline band.
- Recent change activitynotableNamed in the full brief.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitynone0 prior firms.
Career
- 18.6 years in the industry
- 2.5 years at the current firm
- 0 prior registered firms
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
- Registered in 51 states (firm median 2)
- Exams: SIE, Series 63, Series 65, Series 7
- Registered as a broker as well as an adviser
Source: IAPD individual feed and the per-person IAPD record
Around this advisor
- No recent movement observed around this advisor.
Regulatory record
In the full brief, with the official record linked.
+4 details in the full brief
The named explanations, the practice profile, what stands out and the conversation themes, with the official record linked.
Includes 3 days of DFX Intelligence. Then $249/month unless canceled.
Outside business and networkWhat is shown hereEvery item is the advisor’s own outside-business disclosure on Form U4, read from the IAPD feed, so the link between the advisor and the company is theirs, not DFX’s guess. Each company is then looked up in public records (state registries, SEC Form D, the IRS exempt-organisation file, SBA loans, Form ADV, assessor rolls), and every fact on its page names its record. Personal items (a trusteeship for a relative, a home, a side job) and every address are left out. People connected through these companies are observed business connections, never assumed clients.
what the advisor disclosed on Form U4, and what the public record says each company is
Observed business footprint
- 2 disclosed outside organisations
- Owner, founder or manager of 2
- 2 started or first disclosed in the last 12 months
Why it may matter
- notableEntrepreneurial activityOwns, founded or manages 2 business entities outside the advisory practice (self-disclosed on Form U4).
- notableBusiness network connectivityThrough these entities DFX sees 7 other people named in public records and 0 other registered advisors who disclose the same entities. These are observed business connections, not clients.
- someExternal business breadthOutside business spans 1 category: operating company.
- notableRecent external activity2 outside activities with a start date in the last 12 months.
- Owner, Partner · since 2026-01-28
Produces sustainable metals and raw materials, including rare earths, recycled from mining waste (the advisor's own disclosure)
Owns or founded an operating company outside the advisory practice; started within the last 12 months; raised $106,580,755 under Reg D.
self-disclosed on Form U4 - Owner, Partner · since 2026-01-23
Develops long-endurance fully electric zero-emissions unmanned aerial systems (the advisor's own disclosure)
Owns or founded an operating company outside the advisory practice; started within the last 12 months.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- J.P. Morgan Securities LLC wirehouse currentsince Apr 8, 2024 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
No firm change on the tape.
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
- Wirehousederived
- Years in industry
- 18.6 yderivedfrom the earlier of the first exam and the first registration on IAPD
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote