DFX Intelligence
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Registered advisor
J•• L••••• D•••••••••
Feed of 09/14/2026
Also filed as J•• L••••• D••••••••• D• G••••••••• D••••••••• G••••••••• L• D•••••••••
At current firm
3 y
since Jun 1, 2023
In the industry
12 y
since Sep 1, 2014 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- C•••••• S••••• • C••• I••• national BD currentsince Jun 1, 2023 · Phoenix, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 24, 2017 to Jun 7, 2022 · Riverside, Ri
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left Jun 7, 2022, registered Jun 1, 2023 (359 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedJun 7, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
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