DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Feed of 09/14/2026
Also filed as L•••• R•• J••••••
At current firm
4 y
since Oct 19, 2021
In the industry
14 y
since Jan 1, 2012 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
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
- X••••• C•••••• state registered currentsince Oct 19, 2021 · Austin, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJul 30, 2020 to Aug 26, 2021 · Fredericksburg, Va
- W•••• F•••• A••••••• wirehouseOct 2, 2017 to Aug 4, 2020 · Warrenton, Va
- F•••• C•••••• A••••••• S••••••• BD affiliatedJan 27, 2016 to Jun 8, 2017 · Virginia Beach, Va
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to X••••• C••••••left Aug 26, 2021, registered Oct 19, 2021 (54 days) · Affiliated broker-dealer or bank to a state-registered adviser
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 4, 2020, registered Jul 30, 2020 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- F•••• C•••••• A••••••• S••••••• to W•••• F•••• A•••••••left Jun 8, 2017, registered Oct 2, 2017 (116 days) · Other
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
- STATE REGISTEREDderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address