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.
Feed of 09/14/2026
Also filed as Jay F Ward
At current firm
1 y
since Jan 23, 2025
In the industry
25 y
since Sep 26, 2000 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Jan 23, 2025 · Chicago, Il
- Wintrust Investments formerJan 6, 2025 to Jan 23, 2025 · Chicago, Il
- Wintrust Investments formerSep 17, 2019 to Jan 14, 2022 · Chicago, Il
- Northern Trust Securities, Inc BD affiliatedApr 2, 2015 to Dec 1, 2017 · Chicago, Il
- J.P. Morgan Securities LLC wirehouseOct 1, 2008 to Aug 18, 2010 · Chicago, Il
- J.P. Morgan Securities Inc. unclassifiedSep 27, 2006 to Oct 1, 2008 · Chicago, Il
- Banc One Securities Corporation unclassifiedMay 8, 2003 to Sep 27, 2006 · Chicago, Il
- J.P. Morgan Asset Management unclassifiedMar 30, 2001 to Nov 19, 2003 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- Wintrust Investments to LPL Financial LLCleft Jan 23, 2025, registered Jan 23, 2025 (0 days) · corporate re-registration, not a move
- Northern Trust Securities, Inc to Wintrust Investmentsleft Dec 1, 2017, registered Sep 17, 2019 (655 days) · Other
- J.P. Morgan Securities LLC to Northern Trust Securities, Incleft Aug 18, 2010, registered Apr 2, 2015 (1688 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J.P. Morgan Securities Inc. to J.P. Morgan Securities LLCleft Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
- Banc One Securities Corporation to J.P. Morgan Securities Inc.left Sep 27, 2006, registered Sep 27, 2006 (0 days) · corporate re-registration, not a move
- J.P. Morgan Asset Management to Banc One Securities Corporationleft Nov 19, 2003, registered May 8, 2003 (-195 days) · Other
Signals
No dated event on this person.
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address