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•••• S•••••• R••••••

C•••• R••• A••••••• L••formerPonte Vedra Beach, Fl dual registrantIAPD 2602752

Feed of 09/15/2026

Also filed as Jim Richard

At current firm

2 y

since Feb 27, 2024

In the industry

31 y

since May 15, 1995 (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

C•••• R••• A••••••• L•• former current
since Feb 27, 2024 · Ponte Vedra, Fl
S•••••• C•••••• A••••••• L•• BD affiliated
Nov 1, 2019 to Mar 14, 2024 · Chicago, Il
J••• M••••• S••••••••• L•• wirehouse
Sep 19, 2013 to Nov 6, 2019 · Chicago, Il
C••••• S••••• S••••••••• •••• L•• former
Jul 8, 2008 to Oct 22, 2013 · Chicago, Il
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 29, 2003 to Jul 28, 2008 · Chicago, Il
W•••• F•••• A••••••• wirehouse
Jul 1, 2003 to Aug 1, 2003 · Chicago, Il
P••••••••• E••••• G••••• L•• unclassified
Apr 4, 2002 to Jul 1, 2003 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

S•••••• C•••••• A••••••• L•• to C•••• R••• A••••••• L••
left Mar 14, 2024, registered Feb 27, 2024 (-16 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
J••• M••••• S••••••••• L•• to S•••••• C•••••• A••••••• L••
left Nov 6, 2019, registered Nov 1, 2019 (-5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
C••••• S••••• S••••••••• •••• L•• to J••• M••••• S••••••••• L••
left Oct 22, 2013, registered Sep 19, 2013 (-33 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••• S••••• S••••••••• •••• L••
left Jul 28, 2008, registered Jul 8, 2008 (-20 days) · Other
W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 1, 2003, registered Jul 29, 2003 (-3 days) · Wirehouse to wirehouse
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•••• S•••••• R•••••• left S•••••• C•••••• A••••••• L•• for C•••• R••• A••••••• L•• (registered 2024-02-27)
Mar 14, 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: Former SEC-registered adviserderived
Years in industry: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address