DFX Intelligence
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Registered advisor
D•••• J••••••
Feed of 09/15/2026
Also filed as D•••• M•••••• J••••••••• M• J••••••••• J••••••
At current firm
4 y
since Aug 11, 2022
In the industry
12 y
since Jan 28, 2014 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
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•••••• A••••••• G••••• L•• BD affiliated currentsince Aug 11, 2022 · Greenwood Village, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 14, 2018 to Jul 6, 2022 · Hunt Valley, Md
- P•••• S••••••••• L•• no RAUMMay 3, 2017 to Feb 14, 2018 · Hunt Valley, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 10, 2014 to Aug 24, 2015 · Baltimore, Md
- M••••• S•••••• wirehouseJan 28, 2014 to Nov 19, 2014 · Hunt Valley, Md
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• A••••••• G••••• L••left Jul 6, 2022, registered Aug 11, 2022 (36 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- P•••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 14, 2018, registered May 14, 2018 (89 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••• S••••••••• L••left Aug 24, 2015, registered May 3, 2017 (618 days) · Other
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 19, 2014, registered Dec 10, 2014 (21 days) · Wirehouse to wirehouse
Signals
- ••• LockedJul 6, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address