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•• C•••••••• S•••••••

L•• F•••••••• L••BD affiliatedSpokane, Wa dual registrantIAPD 2512795

Feed of 09/15/2026

At current firm

17 y

since Jul 10, 2009

In the industry

32 y

since Sep 10, 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

L•• F•••••••• L•• BD affiliated current
since Jul 10, 2009 · Medical Lake, Wa
W•••• I••••••••• M••••••••• unclassified
Jan 10, 2011 to Dec 18, 2024 · Olympia, Wa
P•••••••• S••••••••• I••• BD affiliated
Jun 9, 2006 to Dec 31, 2008 · Spokane Valley, Wa
W•••• F•••• A••••••• wirehouse
Jul 1, 2003 to Mar 2, 2005 · Spokane, Wa
P••••••••• E••••• G••••• L•• unclassified
Oct 28, 1994 to Jul 1, 2003 · Spokane, Wa

Moves

a registration end followed by a registration begin elsewhere

W•••• I••••••••• M••••••••• to no registered destination
left Dec 18, 2024 · Departure, no registered destination
P•••••••• S••••••••• I••• to L•• F•••••••• L••
left Dec 31, 2008, registered Jul 10, 2009 (191 days) · Other
W•••• F•••• A••••••• to P•••••••• S••••••••• I•••
left Mar 2, 2005, registered Jun 9, 2006 (464 days) · Other
P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••
left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move

Signals

J•• C•••••••• S••••••• no longer registered at W•••• I••••••••• M•••••••••; no later IA registration on IAPD
Dec 18, 2024 · Advisor departure · 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