DFX Intelligence
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Registered advisor
C•••••••• P•••••••••
Feed of 09/14/2026
Also filed as C•••••••• P••••••••• P••••• Q••••••••• A•••••• P••••••••• A• P••••••••• P•••••••••
At current firm
0 y
since Jul 17, 2026
In the industry
10 y
since Aug 1, 2016 (earliest exam, job or registration)
Prior registered firms
3
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
2
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Jul 17, 2026 · Miami, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 3, 2022 to Jan 16, 2024 · Short Hills, Nj
- J••• M••••• S••••••••• L•• wirehouseJan 13, 2022 to Sep 1, 2022 · Westfield, Nj
- W•••• F•••• A••••••• wirehouseDec 11, 2020 to Sep 22, 2021 · Hillside, Nj
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Jan 16, 2024, registered Jul 17, 2026 (913 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 1, 2022, registered Nov 3, 2022 (63 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Sep 22, 2021, registered Jan 13, 2022 (113 days) · Wirehouse to wirehouse
Signals
- ••• LockedJan 16, 2024 · Advisor changed firm · fact
- ••• LockedSep 1, 2022 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address