DFX Intelligence
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Registered advisor
J•••••• C•••••
Feed of 09/14/2026
Also filed as J•••••• P• C••••••••• P••• C••••••••• C•••••
At current firm
4 y
since Sep 21, 2022
In the industry
15 y
since May 26, 2011 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- L•• F•••••••• L•• BD affiliated currentsince Sep 21, 2022 · Newport Beach, Ca
- L•• F•••••••• L•• BD affiliatedApr 18, 2018 to Oct 28, 2020 · San Diego, Ca
- P•••• S••••••••• L•• no RAUMDec 21, 2015 to Feb 23, 2018 · San Diego, Ca
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJan 31, 2014 to Oct 28, 2015 · Lake Elmo, Mn
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• F•••••••• L••left Feb 23, 2018, registered Apr 18, 2018 (54 days) · Affiliated broker-dealer or bank to independent RIA
- N••••••••• M••••• I••••••••• S••••••••• to P•••• S••••••••• L••left Oct 28, 2015, registered Dec 21, 2015 (54 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
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