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.
Registered advisor
John Joseph Lupi
Feed of 09/14/2026
At current firm
0 y
since Aug 20, 2026
In the industry
39 y
since Jun 5, 1987 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Equitable Advisors, LLC national BD currentsince Aug 20, 2026 · Colts Neck, Nj
- Stifel Independent Advisors, LLC BD affiliatedJun 13, 2023 to Aug 20, 2026 · St. Louis, Mo
- Ameriprise Financial Services, LLC national BDAug 14, 2012 to Jun 16, 2023 · Colts Neck, Nj
- Wells Fargo Advisors wirehouseOct 3, 2003 to Aug 15, 2012 · Colts Neck, Nj
- UBS Financial Services Inc. wirehouseJun 3, 2002 to Oct 15, 2003 · Manalapan, Nj
Moves
a registration end followed by a registration begin elsewhere
- Stifel Independent Advisors, LLC to Equitable Advisors, LLCleft Aug 20, 2026, registered Aug 20, 2026 (0 days) · corporate re-registration, not a move
- Ameriprise Financial Services, LLC to Stifel Independent Advisors, LLCleft Jun 16, 2023, registered Jun 13, 2023 (-3 days) · Affiliated broker-dealer or bank to another
- Wells Fargo Advisors to Ameriprise Financial Services, LLCleft Aug 15, 2012, registered Aug 14, 2012 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- UBS Financial Services Inc. to Wells Fargo Advisorsleft Oct 15, 2003, registered Oct 3, 2003 (-12 days) · Wirehouse to wirehouse
Signals
- John Joseph Lupi left Ameriprise Financial Services, Llc for Stifel Independent Advisors, Llc (registered 2023-06-13)Jun 16, 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
- National broker-dealer RIAderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address