DFX Intelligence
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Registered advisor
C•••• J••••••• C•••••••••
Feed of 09/15/2026
Also filed as C•••• J••••••• C••••••••• J••••••• M••••••••• J••••••• C••••••••• C••••••••• J••••• C•••••••••
At current firm
3 y
since Sep 20, 2023
In the industry
20 y
since Jun 1, 2006 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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 Sep 20, 2023 · Austin, Tx
- J••• M••••• S••••••••• L•• wirehouseJul 5, 2022 to Sep 16, 2023 · Austin, Tx
- K••••• A••••••• S•••••••• L•• BD affiliatedNov 13, 2020 to May 13, 2022 · Austin, Tx
- C••• F•••••••• S•••••••• L••• formerSep 3, 2019 to Nov 13, 2020 · Cedar Park, Tx
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to C••••• I••••••••• A••••••• L••left Sep 16, 2023, registered Sep 20, 2023 (4 days) · Wirehouse to affiliated broker-dealer or bank
- K••••• A••••••• S•••••••• L•• to J••• M••••• S••••••••• L••left May 13, 2022, registered Jul 5, 2022 (53 days) · Affiliated broker-dealer or bank to wirehouse
- C••• F•••••••• S•••••••• L••• to K••••• A••••••• S•••••••• L••left Nov 13, 2020, registered Nov 13, 2020 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
Signals
- ••• LockedSep 16, 2023 · Advisor changed firm · fact
- ••• LockedMay 13, 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address