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

S•••• J• O••••••

A••••• F•••••••• A•••••••• L••independent RIACharlotte, Nc dual registrantIAPD 1495700

Feed of 09/14/2026

Also filed as S•••• Jo Graff

At current firm

4 y

since Jan 26, 2022

In the industry

37 y

since Nov 10, 1988 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••• F•••••••• A•••••••• L•• independent RIA current
since Jan 26, 2022 · Charlotte, Nc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 17, 2017 to Jan 10, 2022 · Skokie, Il
N••••• A•••• M••••••••• L•• mixed wealth
May 3, 2016 to May 23, 2017 · Chicago, Il
F•••• T•••• S••••••••• I••• BD affiliated
Feb 16, 2011 to Jan 12, 2015 · Evanston, Il
F••••••••• A•••••••• I••• unclassified
Apr 30, 2010 to Jan 14, 2011 · Bolingbrook, Il
V•••• F•••••••• A•••••••• I••• BD affiliated
Jan 7, 2008 to Jul 8, 2009 · Peoria, Il
W•••• F•••• A••••••• wirehouse
Mar 24, 2006 to Jan 7, 2008 · Oak Brook, Il
C•••• I••••••••• S••••••• C•••• former
Nov 15, 2005 to Mar 27, 2006 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••• F•••••••• A•••••••• L••
left Jan 10, 2022, registered Jan 26, 2022 (16 days) · Wirehouse to independent RIA
N••••• A•••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left May 23, 2017, registered Aug 17, 2017 (86 days) · Other
F•••• T•••• S••••••••• I••• to N••••• A•••• M••••••••• L••
left Jan 12, 2015, registered May 3, 2016 (477 days) · Other
F••••••••• A•••••••• I••• to F•••• T•••• S••••••••• I•••
left Jan 14, 2011, registered Feb 16, 2011 (33 days) · Other
V•••• F•••••••• A•••••••• I••• to F••••••••• A•••••••• I•••
left Jul 8, 2009, registered Apr 30, 2010 (296 days) · Other
W•••• F•••• A••••••• to V•••• F•••••••• A•••••••• I•••
left Jan 7, 2008, registered Jan 7, 2008 (0 days) · Other
C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••
left Mar 27, 2006, registered Mar 24, 2006 (-3 days) · Other

Signals

S•••• J• O•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for A••••• F•••••••• A•••••••• L•• (registered 2022-01-26)
Jan 10, 2022 · 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: Independent wealth managerderived
Years in industry: 37derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address