DFX Intelligence
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Registered advisor
J••• R• E•••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as J•••••• R••• E••••••••• R••• E••••••••• R• E•••••
At current firm
9 y
since Sep 26, 2016
In the industry
17 y
since Jan 26, 2009 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- C••••••• P••••••• independent RIA currentsince Sep 26, 2016 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 27, 2016 to Sep 12, 2016 · Carlsbad, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 9, 2011 to Jul 19, 2016 · San Diego, Ca
- T• A••••••••• I••• formerAug 9, 2011 to Jul 19, 2016 · San Diego, Ca
- M••••• S•••••• wirehouseAug 2, 2010 to Jun 28, 2011 · Carlsbad, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• P•••••••left Sep 12, 2016, registered Sep 26, 2016 (14 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 19, 2016, registered Jul 27, 2016 (8 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 19, 2016, registered Aug 9, 2011 (-1806 days) · channel change inside one enterprise, not a move · moved with a team
- M••••• S•••••• to T• A••••••••• I•••left Jun 28, 2011, registered Aug 9, 2011 (42 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address