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 W Shaffer
Feed of 09/15/2026
Also filed as John William Shaffer
At current firm
7 y
since Jan 3, 2019
In the industry
48 y
since Jan 1, 1978 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Latitude Advisors, LLC independent RIA currentsince Jan 3, 2019 · East Freedom, Pa
- Osaic Wealth, Inc. BD affiliatedNov 2, 2018 to Dec 31, 2018 · East Freedom, Pa
- Signator Investors, Inc. formerMay 13, 2016 to Nov 2, 2018 · Gold River, Ca
- Transamerica Financial Advisors, LLC BD affiliatedJan 15, 2008 to May 13, 2016 · Gold River, Ca
Moves
a registration end followed by a registration begin elsewhere
- Osaic Wealth, Inc. to Latitude Advisors, LLCleft Dec 31, 2018, registered Jan 3, 2019 (3 days) · Affiliated broker-dealer or bank to independent RIA
- Signator Investors, Inc. to Osaic Wealth, Inc.left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- Transamerica Financial Advisors, LLC to Signator Investors, Inc.left May 13, 2016, registered May 13, 2016 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- 48derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address