DFX Intelligence
RIA Intelligence
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Registered advisor
J••••• R••••••••
Feed of 09/14/2026
At current firm
10 y
since Jan 14, 2016
In the industry
14 y
since Mar 16, 2012 (earliest exam, job or registration)
Prior registered firms
1
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
- O•••• I••••••••• I••• BD affiliated currentsince Jan 14, 2016 · Southbury, Ct
- L•• F•••••••• L•• BD affiliatedAug 19, 2015 to Dec 28, 2015 · Willimantic, Ct
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to O•••• I••••••••• I•••left Dec 28, 2015, registered Jan 14, 2016 (17 days) · Other · moved with a team
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address