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•••• W••••• S••••••

C••••• I••••••••• A••••••• L••BD affiliatedElk Grove, Cadual registrantIAPD 1294902

Feed of 09/14/2026

At current firm

0 y

since Jun 24, 2026

In the industry

42 y

since Aug 14, 1984 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• I••••••••• A••••••• L•• BD affiliated current
since Jun 24, 2026 · Elk Grove, Ca
L•• F•••••••• L•• BD affiliated
Sep 9, 2008 to Jul 7, 2026 · Sacramento, Ca
U••• B•••••• I••••••••• I••• former
Oct 26, 2006 to Jul 9, 2008 · Sacramento, Ca
C••••••• I••••••••• S••••••• unclassified
Jan 6, 2006 to Oct 2, 2006 · Citrus Heights, Ca
M••••• S•••••• D• I••• unclassified
Jun 25, 2004 to Aug 29, 2005 · Sacramento, Ca

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••
left Jul 7, 2026, registered Jun 24, 2026 (-13 days) · Affiliated broker-dealer or bank to another
U••• B•••••• I••••••••• I••• to L•• F•••••••• L••
left Jul 9, 2008, registered Sep 9, 2008 (62 days) · Other
C••••••• I••••••••• S••••••• to U••• B•••••• I••••••••• I•••
left Oct 2, 2006, registered Oct 26, 2006 (24 days) · Other
M••••• S•••••• D• I••• to C••••••• I••••••••• S•••••••
left Aug 29, 2005, registered Jan 6, 2006 (130 days) · Other

Signals

J•••• W••••• S•••••• left L•• F•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2026-06-24)
Jul 7, 2026 · 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: 42derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address