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•••• R•••••• C••••

C•••••••• F••••••••• I•••BD affiliatedIrvine, Ca dual registrantIAPD 2632270

Feed of 09/15/2026

At current firm

9 y

since Aug 9, 2017

In the industry

31 y

since Jul 5, 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•••••••• F••••••••• I••• BD affiliated current
since Aug 9, 2017 · Irvine, Ca
F•••••••• W••• G•••• former
Nov 18, 2011 to Aug 9, 2017 · Irvine, Ca
T••••• P•••• S••••••••• I••• unclassified
Oct 26, 2010 to Nov 21, 2011 · Irvine, Ca
C••••• M•••••• independent RIA
Apr 30, 2008 to Aug 23, 2010 · Irvine, Ca
W•••• F•••• I••••••••• L•• unclassified
Mar 30, 2004 to Jan 15, 2008 · Foothill Ranch, Ca
S•••••••• A••••••• L•• national BD
Apr 2, 1999 to Feb 10, 2004 · Irvine, Ca

Moves

a registration end followed by a registration begin elsewhere

F•••••••• W••• G•••• to C•••••••• F••••••••• I•••
left Aug 9, 2017, registered Aug 9, 2017 (0 days) · Other
T••••• P•••• S••••••••• I••• to F•••••••• W••• G••••
left Nov 21, 2011, registered Nov 18, 2011 (-3 days) · Other
C••••• M•••••• to T••••• P•••• S••••••••• I•••
left Aug 23, 2010, registered Oct 26, 2010 (64 days) · Other
W•••• F•••• I••••••••• L•• to C••••• M••••••
left Jan 15, 2008, registered Apr 30, 2008 (106 days) · Other
S•••••••• A••••••• L•• to W•••• F•••• I••••••••• L••
left Feb 10, 2004, registered Mar 30, 2004 (49 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: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address