DFX Intelligence
RIA Intelligence
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Registered advisor
N••••• A••••• J•••
Feed of 09/14/2026
At current firm
3 y
since Apr 18, 2023
In the industry
15 y
since Mar 25, 2011 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
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••••••••• F•••••••• A•••••••• L•• BD affiliated currentsince Apr 18, 2023 · Las Vegas, Nv
- S••••••• A•••••• G•••• state registeredMar 25, 2011 to Sep 9, 2014 · Mesa, Az
Moves
a registration end followed by a registration begin elsewhere
- S••••••• A•••••• G•••• to T••••••••• F•••••••• A•••••••• L••left Sep 9, 2014, registered Apr 18, 2023 (3143 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address