DFX Intelligence
RIA Intelligence
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Feed of 09/14/2026
Also filed as R••• D••••
At current firm
8 y
since Aug 20, 2018
In the industry
12 y
since Nov 15, 2013 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Aug 20, 2018 · Carmel, In
- E•••••• C•••••• M••••••••• L•• formerApr 14, 2016 to Jul 27, 2018 · Chicago, Il
- E••••• J•••• national BDMar 3, 2014 to Mar 22, 2016 · Deerfield, Il
Moves
a registration end followed by a registration begin elsewhere
- E•••••• C•••••• M••••••••• L•• to E••••• J••••left Jul 27, 2018, registered Aug 20, 2018 (24 days) · RIA to affiliated broker-dealer or bank
- E••••• J•••• to E•••••• C•••••• M••••••••• L••left Mar 22, 2016, registered Apr 14, 2016 (23 days) · Other
Signals
No dated event on this person.
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address