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•••• A••• W••••••

A••••••••• F•••••••• S•••••••• L••national BDSanta Rosa, Ca dual registrantIAPD 2603523

Feed of 09/14/2026

Also filed as J•••• A W••••••

At current firm

2 y

since Feb 12, 2024

In the industry

30 y

since Jan 9, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••••••• F•••••••• S•••••••• L•• national BD current
since Feb 12, 2024 · Petaluma, Ca
W•••• F•••• A••••••• wirehouse
Oct 17, 2014 to Feb 14, 2024 · Saint Helena, Ca
S••••••• P•••••• F••••••••• L•• former
May 24, 2012 to Oct 31, 2014 · Walnut Creek, Ca
T••••••••• F•••••••• A•••••••• L•• BD affiliated
Jan 6, 2012 to Feb 15, 2012 · San Jose, Ca
I••••••••• A••••••• I••••••••• I••• unclassified
Jun 7, 2011 to Jan 6, 2012 · San Jose, Ca
E••••• J•••• national BD
Dec 9, 2008 to Jun 16, 2009 · San Ramon, Ca

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••
left Feb 14, 2024, registered Feb 12, 2024 (-2 days) · Wirehouse to affiliated broker-dealer or bank
S••••••• P•••••• F••••••••• L•• to W•••• F•••• A•••••••
left Oct 31, 2014, registered Oct 17, 2014 (-14 days) · Other
T••••••••• F•••••••• A•••••••• L•• to S••••••• P•••••• F••••••••• L••
left Feb 15, 2012, registered May 24, 2012 (99 days) · Other
I••••••••• A••••••• I••••••••• I••• to T••••••••• F•••••••• A•••••••• L••
left Jan 6, 2012, registered Jan 6, 2012 (0 days) · corporate re-registration, not a move
E••••• J•••• to I••••••••• A••••••• I••••••••• I•••
left Jun 16, 2009, registered Jun 7, 2011 (721 days) · Other

Signals

J•••• A••• W•••••• left W•••• F•••• A••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-02-12)
Feb 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: National broker-dealer RIAderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address