DFX Intelligence
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Registered advisor
J•••• F•••••
Feed of 09/14/2026
Also filed as J•••• F••••••••• F•••••
At current firm
1 y
since Jun 16, 2025
In the industry
10 y
since Sep 1, 2016 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- S•••••••• A••••••• L•• national BD currentsince Jun 16, 2025 · Santa Clarita, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 20, 2023 to May 31, 2024 · Santa Monica, Ca
- E•••••• A••••••• G••••• L•• BD affiliatedAug 18, 2022 to Mar 3, 2023 · Greenwood Village, Co
- C•••••• S••••• • C••• I••• national BDJan 26, 2022 to Aug 11, 2022 · Encino, Ca
- T• A••••••••• I••• formerFeb 27, 2018 to Aug 11, 2022 · Woodland Hills, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Aug 11, 2022 · Northridge, Ca
- S•••••••• I••••••••• M••••••••• formerOct 4, 2016 to Feb 26, 2018 · Saint Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left May 31, 2024, registered Jun 16, 2025 (381 days) · channel change inside one enterprise, not a move
- E•••••• A••••••• G••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 3, 2023, registered Jun 20, 2023 (109 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Aug 11, 2022, registered Feb 27, 2018 (-1626 days) · channel change inside one enterprise, not a move
- C•••••• S••••• • C••• I••• to E•••••• A••••••• G••••• L••left Aug 11, 2022, registered Aug 18, 2022 (7 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Aug 11, 2022, registered Jan 26, 2022 (-197 days) · channel change inside one enterprise, not a move
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedMar 3, 2023 · Advisor changed firm · fact
- ••• LockedAug 11, 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address