DFX Intelligence
RIA Intelligence
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Registered advisor
A•••••• J•••••
Feed of 09/15/2026
At current firm
2 y
since Feb 7, 2024
In the industry
11 y
since Apr 1, 2015 (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•••••••• G••••• M•••••• I••• BD affiliated currentsince Feb 7, 2024 · Washington, Dc
- R•• C•••••• M••••••• L•• national BDSep 23, 2023 to Dec 22, 2023 · Washington, Dc
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to C•••••••• G••••• M•••••• I•••left Dec 22, 2023, registered Feb 7, 2024 (47 days) · Affiliated broker-dealer or bank to another
Signals
- A•••••• J••••• left R•• C•••••• M••••••• L•• for C•••••••• G••••• M•••••• I••• (registered 2024-02-07)Dec 22, 2023 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address