DFX Intelligence
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Registered advisor
J••• S••••• F••••
Feed of 09/15/2026
Also filed as J•• F••••••••• S••••• F••••
At current firm
7 y
since Nov 8, 2018
In the industry
11 y
since Mar 1, 2015 (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
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
- L•• F•••••••• L•• BD affiliated currentsince Nov 8, 2018 · Charlotte, Nc
- P•• W••••• M••••••••• BD affiliatedMay 11, 2018 to Nov 1, 2018 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- P•• W••••• M••••••••• to L•• F•••••••• L••left Nov 1, 2018, registered Nov 8, 2018 (7 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address