DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

J••••• D••••• P•••••

F•••• C••••••• I••••••• S•••••••• I•••BD affiliatedCharlotte, Ncdual registrantIAPD 6017712

Certified Financial Planner

Feed of 09/14/2026

Also filed as J••••• D••••• P•••••

At current firm

1 y

since Sep 30, 2024

In the industry

13 y

since Feb 13, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

F•••• C••••••• I••••••• S•••••••• I••• BD affiliated current
since Sep 30, 2024 · Charlotte, Nc
F••••• I••••••••• independent RIA
Sep 14, 2021 to Jul 13, 2022 · Plano, Tx
F••••••• P••••••• A•• W•••••••• A••••••• former
Mar 20, 2019 to Sep 14, 2021 · Alexandria, Va
C•••••• S••••• • C••• I••• national BD
Apr 27, 2017 to Mar 18, 2019 · Bethesda, Md
E•••••• C•••••• M••••••••• L•• former
Apr 25, 2016 to Apr 11, 2017 · Washington, Dc
S•••••••• A••••••• L•• national BD
Feb 27, 2013 to Apr 15, 2016 · Washington, Dc

Moves

a registration end followed by a registration begin elsewhere

F••••• I••••••••• to F•••• C••••••• I••••••• S•••••••• I•••
left Jul 13, 2022, registered Sep 30, 2024 (810 days) · RIA to affiliated broker-dealer or bank
F••••••• P••••••• A•• W•••••••• A••••••• to F••••• I•••••••••
left Sep 14, 2021, registered Sep 14, 2021 (0 days) · Affiliated broker-dealer or bank to independent RIA
C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Mar 18, 2019, registered Mar 20, 2019 (2 days) · Affiliated broker-dealer or bank to another
E•••••• C•••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Apr 11, 2017, registered Apr 27, 2017 (16 days) · Other
S•••••••• A••••••• L•• to E•••••• C•••••• M••••••••• L••
left Apr 15, 2016, registered Apr 25, 2016 (10 days) · Other

Signals

J••••• D••••• P••••• left F••••• I••••••••• for F•••• C••••••• I••••••• S•••••••• I••• (registered 2024-09-30)
Jul 13, 2022 · Advisor changed firm · fact

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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address