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.

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Registered advisor

J••••••• A••••

S•••BD affiliatedLos Angeles, Ca dual registrantIAPD 2162201

Certified Financial Planner

Feed of 09/15/2026

Also filed as J••••••• Douglas A••••

At current firm

2 y

since Jun 24, 2024

In the industry

32 y

since Jan 14, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S••• BD affiliated current
since Jun 24, 2024 · Los Angeles, Ca
C•••••• G•••• • C• I•• former
Apr 7, 2021 to Jun 17, 2024 · Cleveland, Oh
C•••• B•••• G•••• former
Mar 5, 2018 to Jul 1, 2024 · West Bloomfield, Mi
S••••••••• A•••••• A•••••••• I••• former
Dec 8, 2011 to Apr 13, 2021 · West Bloomfield, Mi
T•• P••••••••• A•••••• G••••• L•• unclassified
Feb 5, 2010 to May 24, 2012 · West Bloomfield, Mi
F•• S••••••••• C••••••••• former
Mar 12, 2001 to Nov 12, 2002 · Farmington Hills , Mi

Moves

a registration end followed by a registration begin elsewhere

C•••• B•••• G•••• to C•••••• G•••• • C• I••
left Jul 1, 2024, registered Apr 7, 2021 (-1181 days) · RIA to affiliated broker-dealer or bank
C•••••• G•••• • C• I•• to S•••
left Jun 17, 2024, registered Jun 24, 2024 (7 days) · Affiliated broker-dealer or bank to another · moved with a team
S••••••••• A•••••• A•••••••• I••• to C•••• B•••• G••••
left Apr 13, 2021, registered Mar 5, 2018 (-1135 days) · Other
T•• P••••••••• A•••••• G••••• L•• to S••••••••• A•••••• A•••••••• I•••
left May 24, 2012, registered Dec 8, 2011 (-168 days) · Other
F•• S••••••••• C••••••••• to T•• P••••••••• A•••••• G••••• L••
left Nov 12, 2002, registered Feb 5, 2010 (2642 days) · Other

Signals

J••••••• A•••• left C•••• B•••• G•••• for C•••••• G•••• • C• I•• (registered 2021-04-07)
Jul 1, 2024 · a•••••• firm change · fact
J••••••• A•••• left C•••••• G•••• • C• I•• for Seia (registered 2024-06-24)
Jun 17, 2024 · a•••••• firm change · 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: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address