DFX Intelligence
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Registered advisor
N••• J••••••
Feed of 09/14/2026
Also filed as N••• J•••••• T••••••••• J••••••••• I•••• J••••••
At current firm
1 y
since Mar 31, 2025
In the industry
15 y
since Jul 1, 2011 (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
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Rancho Cucamonga, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 16, 2022 to Mar 31, 2025 · Rancho Cucamonga, Ca
- W•••• F•••• A••••••• wirehouseAug 7, 2020 to Oct 12, 2022 · Claremont, Ca
- J••• M••••• S••••••••• L•• wirehouseMay 8, 2018 to Jun 5, 2020 · Rancho Cucamonga, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 28, 2017 to Apr 30, 2018 · Ontario, Ca
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
- W•••• F•••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 12, 2022, registered Nov 16, 2022 (35 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Jun 5, 2020, registered Aug 7, 2020 (63 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Apr 30, 2018, registered May 8, 2018 (8 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedOct 12, 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address