DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
R•••• J•••••• C••••
Feed of 09/14/2026
Also filed as R•••• J•• J••• C••••••••• J• C••••
At current firm
3 y
since Sep 28, 2022
In the industry
35 y
since Aug 5, 1991 (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
S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Sep 28, 2022 · Fullerton, Ca
- S••••••••• A•••••• A•••••••• I••• formerDec 18, 2013 to Oct 18, 2022 · Fullerton, Ca
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 8, 2008 to Dec 18, 2013 · Fullerton, Ca
- W••• S•••••• A••••••• S•••••••• I••• unclassifiedFeb 7, 2007 to May 9, 2008 · Anaheim, Ca
- W••• S•••••• A••••••• S•••••••• I••• unclassifiedSep 14, 2005 to Dec 31, 2006 · Anaheim, Ca
- O•••• W•••••• I••• BD affiliatedApr 1, 2005 to Dec 14, 2007 · Fullerton, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJul 22, 1998 to Feb 28, 2005 · Anaheim, Ca
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Oct 18, 2022, registered Sep 28, 2022 (-20 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- V••• F•••••••• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Dec 18, 2013, registered Dec 18, 2013 (0 days) · Other
- W••• S•••••• A••••••• S•••••••• I••• to V••• F•••••••• A•••••••• I•••left May 9, 2008, registered Jan 8, 2008 (-122 days) · Other
- O•••• W•••••• I••• to W••• S•••••• A••••••• S•••••••• I•••left Dec 14, 2007, registered Sep 14, 2005 (-821 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to O•••• W•••••• I•••left Feb 28, 2005, registered Apr 1, 2005 (32 days) · Other
Signals
- ••• LockedOct 18, 2022 · advisor firm c••••e · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address