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•••• G•••••• C••••••

E•••••••• A•••••••• L••national BDRoanoke, Vadual registrantIAPD 2599661

Feed of 09/14/2026

Also filed as Jim C••••••

At current firm

2 y

since May 22, 2024

In the industry

23 y

since Dec 24, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E•••••••• A•••••••• L•• national BD current
since May 22, 2024 · Roanoke, Va
T••••• A••••••• S•••••••• I••• BD affiliated
Sep 21, 2016 to May 28, 2024 · Roanoke, Va
S••••••• I••••••••• S•••••••• I••• former
Nov 17, 2014 to Dec 31, 2016 · Roanoke, Va
S•••••••• A••••••• L•• national BD
May 15, 2013 to Jul 10, 2014 · Charlotte, Nc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 13, 2012 to Mar 12, 2013 · Austin, Tx
C•••••• S••••• • C••• I••• national BD
Mar 29, 2010 to Jan 17, 2012 · Austin, Tx
N•• E•••••• S••••••••• C••••••••• former
Sep 18, 2009 to Mar 9, 2010 · Austin, Tx
U•• F•••••••• S••••••• I••• wirehouse
Jan 6, 2003 to May 13, 2009 · South Burlington, Vt

Moves

a registration end followed by a registration begin elsewhere

T••••• A••••••• S•••••••• I••• to E•••••••• A•••••••• L••
left May 28, 2024, registered May 22, 2024 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••
left Dec 31, 2016, registered Sep 21, 2016 (-101 days) · corporate re-registration, not a move
S•••••••• A••••••• L•• to S••••••• I••••••••• S•••••••• I•••
left Jul 10, 2014, registered Nov 17, 2014 (130 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A••••••• L••
left Mar 12, 2013, registered May 15, 2013 (64 days) · Wirehouse to affiliated broker-dealer or bank
C•••••• S••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jan 17, 2012, registered Mar 13, 2012 (56 days) · Affiliated broker-dealer or bank to wirehouse
N•• E•••••• S••••••••• C••••••••• to C•••••• S••••• • C••• I•••
left Mar 9, 2010, registered Mar 29, 2010 (20 days) · Other
U•• F•••••••• S••••••• I••• to N•• E•••••• S••••••••• C•••••••••
left May 13, 2009, registered Sep 18, 2009 (128 days) · Other

Signals

J•••• G•••••• C•••••• left T••••• A••••••• S•••••••• I••• for E•••••••• A•••••••• L•• (registered 2024-05-22)
May 28, 2024 · 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: National broker-dealer RIAderived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address