DFX Intelligence
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Registered advisor
S••••• J•••• F•••••
Feed of 09/15/2026
Also filed as S•• F••••••••• J• F•••••
At current firm
1 y
since Mar 31, 2025
In the industry
11 y
since Aug 1, 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
S66, 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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Tampa, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerDec 7, 2021 to Mar 31, 2025 · Tampa, Fl
- M••••• S•••••• wirehouseMar 18, 2019 to May 28, 2021 · Tampa, Fl
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to Mar 20, 2019 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerOct 11, 2016 to Jan 8, 2018 · Tampa, Fl
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to F••••••• P••••••• A•• W•••••••• A•••••••left May 28, 2021, registered Dec 7, 2021 (193 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- U••• I••••••••• S••••••• C•••••• to M••••• S••••••left Mar 20, 2019, registered Mar 18, 2019 (-2 days) · Affiliated broker-dealer or bank to wirehouse
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (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
- 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