DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

J••• A•••••• L••••

P•••••• P•••• W••••• M•••••••••formerCarlsbad, CaIA-onlyIAPD 1264017

Certified Financial Planner

Feed of 09/14/2026

Also filed as J••• A•••••• L••••

At current firm

0 y

since Jan 9, 2026

In the industry

31 y

since Nov 28, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

P•••••• P•••• W••••• M••••••••• former current
since Jan 9, 2026 · Carlsbad, Ca
O•••• W•••••• I••• BD affiliated
Sep 1, 2023 to Jan 8, 2026 · Vista, Ca
S•••••••• F••••••••• I••• former
Apr 10, 2023 to Sep 1, 2023 · Vista, Ca
E••••• J•••• national BD
Jul 1, 2019 to Apr 11, 2023 · Carlsbad, Ca
L•• F•••••••• L•• BD affiliated
Apr 21, 2003 to May 25, 2004 · Long Beach, Ca

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to P•••••• P•••• W••••• M•••••••••
left Jan 8, 2026, registered Jan 9, 2026 (1 days) · Affiliated broker-dealer or bank to independent RIA
S•••••••• F••••••••• I••• to O•••• W•••••• I•••
left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
E••••• J•••• to S•••••••• F••••••••• I•••
left Apr 11, 2023, registered Apr 10, 2023 (-1 days) · Affiliated broker-dealer or bank to another
L•• F•••••••• L•• to E••••• J••••
left May 25, 2004, registered Jul 1, 2019 (5515 days) · Other

Signals

J••• A•••••• L•••• left O•••• W•••••• I••• for P•••••• P•••• W••••• M••••••••• (registered 2026-01-09)
Jan 8, 2026 · Advisor changed firm · fact
J••• A•••••• L•••• left E••••• J•••• for S•••••••• F••••••••• I••• (registered 2023-04-10)
Apr 11, 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: Former SEC-registered adviserderived
Years in industry: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address