DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

J••••• A•••• F•••••

R•• C•••••• M••••••• L••national BDRock Hill, Sc dual registrantIAPD 6543297

Feed of 09/14/2026

Also filed as Joshua A Frieze

At current firm

1 y

since Apr 1, 2025

In the industry

11 y

since Jul 1, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•• C•••••• M••••••• L•• national BD current
since Apr 1, 2025 · Rock Hill, Sc
E•••••• A••••••• G••••• L•• BD affiliated
Nov 29, 2024 to Mar 7, 2025 · Greenwood Village, Co
R•• C•••••• M••••••• L•• national BD
Sep 4, 2020 to Sep 13, 2024 · Boca Raton, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 22, 2016 to Sep 8, 2020 · Boca Raton, Fl

Moves

a registration end followed by a registration begin elsewhere

E•••••• A••••••• G••••• L•• to R•• C•••••• M••••••• L••
left Mar 7, 2025, registered Apr 1, 2025 (25 days) · Affiliated broker-dealer or bank to another
R•• C•••••• M••••••• L•• to E•••••• A••••••• G••••• L••
left Sep 13, 2024, registered Nov 29, 2024 (77 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••
left Sep 8, 2020, registered Sep 4, 2020 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team

Signals

J••••• A•••• F••••• left E•••••• A••••••• G••••• L•• for R•• C•••••• M••••••• L•• (registered 2025-04-01)
Mar 7, 2025 · Advisor changed firm · fact
J••••• A•••• F••••• left R•• C•••••• M••••••• L•• for E•••••• A••••••• G••••• L•• (registered 2024-11-29)
Sep 13, 2024 · 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: 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