DFX Intelligence
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Registered advisor
C••••••• D•••••• J••••••
Feed of 09/14/2026
Also filed as C••••••• J••••••••• D•••••• J••••••••• J••••••••• D•••••• J••••••••• J••••••••• D• J••••••••• D• J••••••••• C••••••••• J•• J••••••••• D• J••••••
At current firm
0 y
since Mar 16, 2026
In the industry
11 y
since Mar 7, 2015 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 16, 2026 · New York, Ny
- L•• E••••••••• L•• BD affiliatedJan 6, 2025 to Aug 11, 2025 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 12, 2023 to May 9, 2024 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseJan 31, 2019 to Sep 10, 2022 · New York, Ny
- M••••• S•••••• wirehouseJul 18, 2017 to Oct 2, 2018 · New Haven, Ct
Moves
a registration end followed by a registration begin elsewhere
- L•• E••••••••• L•• to J••• M••••• S••••••••• L••left Aug 11, 2025, registered Mar 16, 2026 (217 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• E••••••••• L••left May 9, 2024, registered Jan 6, 2025 (242 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 10, 2022, registered Jan 12, 2023 (124 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to J••• M••••• S••••••••• L••left Oct 2, 2018, registered Jan 31, 2019 (121 days) · Wirehouse to wirehouse
Signals
- ••• LockedAug 11, 2025 · Advisor changed firm · fact
- ••• LockedMay 9, 2024 · Advisor changed firm · fact
- ••• LockedSep 10, 2022 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address