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 David Lewis
Feed of 09/14/2026
At current firm
0 y
since Jan 1, 2026
In the industry
34 y
since Mar 6, 1992 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- Regatta Financial LLC state registered currentsince Jan 1, 2026 · Gaithersburg, Md
- Regatta Financial LLC state registeredOct 11, 2024 to Dec 31, 2024 · Gaithersburg, Md
- Private Client Services, LLC BD affiliatedOct 13, 2020 to May 9, 2023 · Appleton, Wi
- Citigroup Global Markets Inc. BD affiliatedAug 16, 2017 to Aug 18, 2020 · Chicago, Il
- H. Beck, Inc. formerNov 12, 2015 to Jul 5, 2017 · Rockville, Md
- Pruco Securities, LLC no RAUMDec 23, 2014 to Jul 14, 2015 · North Bethesda, Md
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOct 1, 2012 to Nov 1, 2014 · Hunt Valley, Md
Moves
a registration end followed by a registration begin elsewhere
- Private Client Services, LLC to Regatta Financial LLCleft May 9, 2023, registered Oct 11, 2024 (521 days) · Affiliated broker-dealer or bank to a state-registered adviser
- Citigroup Global Markets Inc. to Private Client Services, LLCleft Aug 18, 2020, registered Oct 13, 2020 (56 days) · Affiliated broker-dealer or bank to independent RIA
- H. Beck, Inc. to Citigroup Global Markets Inc.left Jul 5, 2017, registered Aug 16, 2017 (42 days) · Other
- Pruco Securities, LLC to H. Beck, Inc.left Jul 14, 2015, registered Nov 12, 2015 (121 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Pruco Securities, LLCleft Nov 1, 2014, registered Dec 23, 2014 (52 days) · Other
Signals
- John David Lewis left Private Client Services, Llc for Regatta Financial Llc (registered 2024-10-11)May 9, 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
- STATE REGISTEREDderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address