DFX Intelligence
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Registered advisor
M•••••• J••••• N•••••
Feed of 09/14/2026
Also filed as M•••••• J••••• N••••••••• N•••••
At current firm
2 y
since May 16, 2024
In the industry
12 y
since Feb 1, 2014 (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
2
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince May 16, 2024 · Hawthorne, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 20, 2022 to Apr 3, 2024 · Los Angeles, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 22, 2019 to Aug 18, 2022 · Los Angeles, Ca
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJan 3, 2019 to Jun 17, 2019 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to C••••• I••••••••• A••••••• L••left Apr 3, 2024, registered May 16, 2024 (43 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 18, 2022, registered Sep 20, 2022 (33 days) · Affiliated broker-dealer or bank to another
- N••••••••• M••••• I••••••••• S••••••••• to M•• I•••••••• S•••••••• L••left Jun 17, 2019, registered Aug 22, 2019 (66 days) · Other
Signals
- ••• LockedApr 3, 2024 · Advisor changed firm · fact
- ••• LockedAug 18, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address