DFX Intelligence
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Registered advisor
J•••••• T• F••••
Feed of 09/14/2026
Also filed as J•••••• F••••
At current firm
1 y
since Mar 31, 2025
In the industry
17 y
since Jul 30, 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
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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Charlotte, Nc
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 12, 2021 to Mar 31, 2025 · Charlotte, Nc
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 13, 2013 to Dec 31, 2020 · Charlotte, Nc
- T• A••••••••• I••• formerAug 13, 2013 to Jan 11, 2021 · Charlotte, Nc
- E•••••••• A•••••••• L•• national BDJul 31, 2009 to Aug 20, 2013 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jan 11, 2021, registered Apr 12, 2021 (91 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Aug 13, 2013 (-2697 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Aug 20, 2013, registered Aug 13, 2013 (-7 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
- National broker-dealer RIAderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address