DFX Intelligence
RIA Intelligence
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Registered advisor
J••••• S••• M•••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
1 y
since Feb 4, 2025
In the industry
18 y
since Jan 31, 2008 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
4
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
- T••• A•••••••• L•• state registered currentsince Feb 4, 2025 · Rapid City, Sd
- T••• A•••••••• L•• state registeredFeb 6, 2018 to Dec 31, 2024 · Rapid City, Sd
- H•••••• T••••••• • K•••• L•• independent RIAAug 8, 2014 to Feb 23, 2017 · Kaneohe, Hi
- P••• A••••• S••••••••• L•• BD affiliatedFeb 7, 2012 to Jun 12, 2014 · Honolulu, Hi
- N••••••••• M••••• I••••••••• S••••••••• no RAUMMar 12, 2008 to Oct 27, 2011 · Honolulu, Hi
Moves
a registration end followed by a registration begin elsewhere
- H•••••• T••••••• • K•••• L•• to T••• A•••••••• L••left Feb 23, 2017, registered Feb 6, 2018 (348 days) · Other
- P••• A••••• S••••••••• L•• to H•••••• T••••••• • K•••• L••left Jun 12, 2014, registered Aug 8, 2014 (57 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to P••• A••••• S••••••••• L••left Oct 27, 2011, registered Feb 7, 2012 (103 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
- STATE REGISTEREDderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address