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

C•••••••• A•• J•••••

A••••••• F••••••••• L•••BD affiliatedFolsom, Ca dual registrantIAPD 2644840

Feed of 09/14/2026

Also filed as C•••••••• A Putman

At current firm

1 y

since May 30, 2025

In the industry

16 y

since Jun 19, 2010 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

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••••••••• L••• BD affiliated current
since May 30, 2025 · Folsom, Ca
I••••••••• P••••••••• L•• former
Jan 17, 2019 to May 16, 2025 · Indianapolis, In
S••••• B•••• I••••••••• A•••••••• L•• former
Aug 27, 2010 to Jun 20, 2025 · Indianapolis, In
W•••••• F•••• independent RIA
Jun 21, 2010 to Aug 4, 2010 · Indianapolis, In

Moves

a registration end followed by a registration begin elsewhere

S••••• B•••• I••••••••• A•••••••• L•• to I••••••••• P••••••••• L••
left Jun 20, 2025, registered Jan 17, 2019 (-2346 days) · Other
I••••••••• P••••••••• L•• to A••••••• F••••••••• L•••
left May 16, 2025, registered May 30, 2025 (14 days) · Other
W•••••• F•••• to S••••• B•••• I••••••••• A•••••••• L••
left Aug 4, 2010, registered Aug 27, 2010 (23 days) · Other

Signals

C•••••••• A•• J••••• left S••••• B•••• I••••••••• A•••••••• L•• for I••••••••• P••••••••• L•• (registered 2019-01-17)
Jun 20, 2025 · Advisor changed firm · fact
C•••••••• A•• J••••• left I••••••••• P••••••••• L•• for A••••••• F••••••••• L••• (registered 2025-05-30)
May 16, 2025 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address