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••••• N•• F•••••••

R•••••••• S•••••••independent RIASan Francisco, Ca IA-onlyIAPD 2364183

Chartered Financial Analyst

Feed of 09/14/2026

Also filed as J••••• F•••••••

At current firm

2 y

since Jul 31, 2024

In the industry

32 y

since May 24, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•••••••• S••••••• independent RIA current
since Jul 31, 2024 · San Francisco, Ca
R•••• W••••• G•••• L•• former
May 23, 2023 to Aug 28, 2024 · Denver, Co
Q•• E••••• I•••••••• L•• former
Jul 2, 2020 to May 6, 2023 · Naperville, Il
E•• C•••• P•••••••• L•• former
Mar 23, 2012 to Jul 1, 2020 · Denver, Co
E•• C•••• P•••••••• L•• former
Aug 11, 2011 to Dec 31, 2011 · Denver, Co
P••••• R•••• C••••••• L•• former
Apr 4, 2007 to Aug 8, 2011 · Denver, Co

Moves

a registration end followed by a registration begin elsewhere

R•••• W••••• G•••• L•• to R•••••••• S•••••••
left Aug 28, 2024, registered Jul 31, 2024 (-28 days) · RIA to RIA · moved with a team
Q•• E••••• I•••••••• L•• to R•••• W••••• G•••• L••
left May 6, 2023, registered May 23, 2023 (17 days) · RIA to RIA
E•• C•••• P•••••••• L•• to Q•• E••••• I•••••••• L••
left Jul 1, 2020, registered Jul 2, 2020 (1 days) · Other
P••••• R•••• C••••••• L•• to E•• C•••• P•••••••• L••
left Aug 8, 2011, registered Aug 11, 2011 (3 days) · Other

Signals

J••••• N•• F••••••• left R•••• W••••• G•••• L•• for R•••••••• S••••••• (registered 2024-07-31)
Aug 28, 2024 · Advisor changed firm · fact
J••••• N•• F••••••• left Q•• E••••• I•••••••• L•• for R•••• W••••• G•••• L•• (registered 2023-05-23)
May 6, 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: Independent wealth managerderived
Years in industry: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address