DFX Intelligence
RIA Intelligence
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Registered advisor
J••••• C••• M•••••••
Feed of 09/14/2026
At current firm
7 y
since Aug 9, 2019
In the industry
32 y
since Jul 1, 1994 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
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
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Aug 9, 2019 · Rockford, Il
- N•• E•••••• S••••••••• C••••••••• formerJul 1, 2011 to Jul 11, 2012 · Brookfield, Wi
Moves
a registration end followed by a registration begin elsewhere
- N•• E•••••• S••••••••• C••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jul 11, 2012, registered Aug 9, 2019 (2585 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address