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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

J••••• J••• L•••

T•• A•••••••• G••••BD affiliatedLa Mesa, Cadual registrantIAPD 2529263

Certified Financial Planner

Feed of 09/14/2026

Also filed as Joe L•••

At current firm

3 y

since Nov 30, 2022

In the industry

32 y

since Aug 16, 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

T•• A•••••••• G•••• BD affiliated current
since Nov 30, 2022 · La Mesa, Ca
O•••• W•••••• I••• BD affiliated
Sep 1, 2023 to Nov 20, 2023 · La Mesa, Ca
S•••••••• F••••••••• I••• former
Jul 23, 2009 to Sep 1, 2023 · Scottsdale, Az
S•••••••• F••••••••• I••• former
Oct 31, 2005 to Jul 9, 2009 · Phoenix, Az
S••••••••• S••••••••• I••• unclassified
Apr 26, 2005 to Nov 4, 2005 · San Diego, Ca

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to no registered destination
left Nov 20, 2023 · Departure, no registered destination
S•••••••• F••••••••• I••• to T•• A•••••••• G••••
left Sep 1, 2023, registered Nov 30, 2022 (-275 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
S••••••••• S••••••••• I••• to S•••••••• F••••••••• I•••
left Nov 4, 2005, registered Oct 31, 2005 (-4 days) · Other

Signals

J••••• J••• L••• no longer registered at O•••• W•••••• I•••; no later IA registration on IAPD
Nov 20, 2023 · Advisor departure · fact
J••••• J••• L••• left S•••••••• F••••••••• I••• for T•• A•••••••• G•••• (registered 2022-11-30)
Sep 1, 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: 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