DFX Intelligence
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Registered advisor
D•••• J••••• S•••••
Feed of 09/14/2026
Also filed as D•••• J••••• S••••••••• S•••••
At current firm
4 y
since Aug 15, 2022
In the industry
13 y
since Nov 26, 2012 (earliest exam, job or registration)
Prior registered firms
3
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Aug 15, 2022 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 15, 2017 to Aug 16, 2022 · El Segundo, Ca
- M••••• S•••••• wirehouseApr 10, 2015 to Sep 20, 2016 · Beverly Hills, Ca
- U•• F•••••••• S••••••• I••• wirehouseNov 30, 2012 to Mar 30, 2015 · Pasadena, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R••••••••• C•••••• M•••••••••left Aug 16, 2022, registered Aug 15, 2022 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 20, 2016, registered Feb 15, 2017 (148 days) · Wirehouse to wirehouse
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Mar 30, 2015, registered Apr 10, 2015 (11 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedAug 16, 2022 · Advisor changed firm · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address