DFX Intelligence
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Registered advisor
M•••••• J••••• R••••••
Feed of 09/14/2026
Also filed as M•••••• J••••• R••••••••• R••••••••• J••••• R••••••
At current firm
1 y
since May 2, 2025
In the industry
15 y
since Jun 1, 2011 (earliest exam, job or registration)
Prior registered firms
1
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince May 2, 2025 · Providence, Ri
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 28, 2023 to Nov 19, 2024 · Smithfield, Ri
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••left Nov 19, 2024, registered May 2, 2025 (164 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedNov 19, 2024 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
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