DFX Intelligence
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Registered advisor
J••••• M••••••• M•••••••
Feed of 09/15/2026
At current firm
1 y
since Mar 31, 2025
In the industry
11 y
since Jan 12, 2015 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Palo Alto, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 10, 2021 to Mar 31, 2025 · Beaverton, Or
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 22, 2016 to Jan 8, 2020 · Long Beach, Ca
- T• A••••••••• I••• formerFeb 22, 2016 to Jan 8, 2020 · Long Beach, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 13, 2015 to Oct 20, 2015 · Long Beach, Ca
- T• A••••••••• I••• formerJan 13, 2015 to Oct 20, 2015 · Long Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 8, 2020, registered Feb 22, 2016 (-1416 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jan 8, 2020, registered Feb 22, 2016 (-1416 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Oct 20, 2015, registered Jan 13, 2015 (-280 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 20, 2015, registered Feb 22, 2016 (125 days) · Other
Signals
No dated event on this person.
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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address