DFX Intelligence
RIA Intelligence
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Registered advisor
J•••• J••• D•••••
Feed of 09/14/2026
Also filed as J•••• J••• D•••••
At current firm
5 y
since Jul 18, 2021
In the industry
17 y
since Apr 6, 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
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
- M••••••• P••• P••••••• independent RIA currentsince Jul 18, 2021 · Hopewell Junction, Ny
- C•••••• G•••• • C• I•• formerFeb 1, 2012 to Jun 14, 2016 · Wappingers Falls, Ny
- E•••••••• A•••••••• L•• national BDMay 11, 2009 to Nov 1, 2011 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- C•••••• G•••• • C• I•• to M••••••• P••• P•••••••left Jun 14, 2016, registered Jul 18, 2021 (1860 days) · Other
- E•••••••• A•••••••• L•• to C•••••• G•••• • C• I••left Nov 1, 2011, registered Feb 1, 2012 (92 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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address