DFX Intelligence
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Feed of 09/15/2026
Also filed as E••• S••••••••• P••••• S••••
At current firm
2 y
since Jan 30, 2024
In the industry
13 y
since Feb 1, 2013 (earliest exam, job or registration)
Prior registered firms
5
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Jan 30, 2024 · Ballston Spa, Ny
- C•••••• S••••• • C••• I••• national BDMar 17, 2022 to Jan 9, 2024 · Beaverton, Or
- T• A••••••••• I••••••••• M••••••••• L•• formerDec 14, 2018 to Sep 7, 2023 · Portland, Or
- T• A••••••••• I••• formerDec 14, 2018 to Oct 14, 2022 · Portland, Or
- F••••• I••••••••• independent RIAFeb 16, 2018 to Sep 13, 2018 · Plano, Tx
- E••••• J•••• national BDJun 3, 2013 to Aug 4, 2017 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to E••••• J••••left Jan 9, 2024, registered Jan 30, 2024 (21 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Mar 17, 2022 (-539 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Dec 14, 2018 (-1400 days) · corporate re-registration, not a move
- F••••• I••••••••• to T• A••••••••• I•••left Sep 13, 2018, registered Dec 14, 2018 (92 days) · Other
- E••••• J•••• to F••••• I•••••••••left Aug 4, 2017, registered Feb 16, 2018 (196 days) · Other
Signals
- ••• LockedJan 9, 2024 · 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address