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
At current firm
4 y
since Jun 22, 2022
In the industry
10 y
since Mar 1, 2016 (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
1
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Jun 22, 2022 · Asheville, Nc
- E•••••••• A•••••••• L•• national BDOct 17, 2019 to Feb 4, 2022 · San Diego, Ca
- F•••• C•••••• A••••••• S••••••• BD affiliatedNov 21, 2018 to Jun 6, 2019 · San Diego, Ca
- E•••••••• A•••••••• L•• national BDMay 10, 2016 to Jun 19, 2018 · Amherst, Ny
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to E••••• J••••left Feb 4, 2022, registered Jun 22, 2022 (138 days) · Affiliated broker-dealer or bank to another
- F•••• C•••••• A••••••• S••••••• to E•••••••• A•••••••• L••left Jun 6, 2019, registered Oct 17, 2019 (133 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to F•••• C•••••• A••••••• S•••••••left Jun 19, 2018, registered Nov 21, 2018 (155 days) · Affiliated broker-dealer or bank to another
Signals
- B•••••• J••••• left E•••••••• A•••••••• L•• for E••••• J•••• (registered 2022-06-22)Feb 4, 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address