DFX Intelligence
RIA Intelligence
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Registered advisor
J•••• S•••• R•••••••
Feed of 09/14/2026
At current firm
8 y
since May 11, 2018
In the industry
12 y
since Mar 1, 2014 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
4
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
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince May 11, 2018 · Minneapolis, Mn
- L•• F•••••••• L•• BD affiliatedNov 29, 2017 to May 7, 2018 · Morris, Mn
- I••••••••• C•••••• O• A••••••• I••• formerAug 20, 2015 to Nov 29, 2017 · Monticello, Mn
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to T••••••• I••••••••• M••••••••• I•••left May 7, 2018, registered May 11, 2018 (4 days) · RIA to affiliated broker-dealer or bank
- I••••••••• C•••••• O• A••••••• I••• to L•• F•••••••• L••left Nov 29, 2017, registered Nov 29, 2017 (0 days) · corporate re-registration, not a move
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address