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

E••• J•••• Q••••••••

J••• M••••• S••••••••• L••wirehouseTempe, Azdual registrantIAPD 2775729

Feed of 09/14/2026

At current firm

0 y

since Dec 9, 2025

In the industry

26 y

since Feb 28, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

J••• M••••• S••••••••• L•• wirehouse current
since Dec 9, 2025 · Tempe, Az
E••••• J•••• national BD
Oct 3, 2019 to Nov 5, 2025 · Tempe, Az
W•••• F•••• A••••••• wirehouse
May 23, 2018 to Sep 19, 2019 · Scottsdale, Az
C•••••• O•• A•••••••• L•• former
Mar 11, 2013 to Jun 23, 2016 · Mclean, Va
F••• former
Jun 6, 2011 to Jul 20, 2011 · Boca Raton, Fl
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to Jun 7, 2011 · Seattle, Wa
W•••• F•••• I••••••••• L•• unclassified
Dec 18, 2007 to Jan 3, 2011 · Seattle, Wa
A••••••••• F•••••••• S•••••••• L•• national BD
Jul 12, 2007 to Sep 24, 2007 · Seattle, Wa

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to J••• M••••• S••••••••• L••
left Nov 5, 2025, registered Dec 9, 2025 (34 days) · Affiliated broker-dealer or bank to wirehouse
W•••• F•••• A••••••• to E••••• J••••
left Sep 19, 2019, registered Oct 3, 2019 (14 days) · Wirehouse to affiliated broker-dealer or bank
C•••••• O•• A•••••••• L•• to W•••• F•••• A•••••••
left Jun 23, 2016, registered May 23, 2018 (699 days) · Other
F••• to C•••••• O•• A•••••••• L••
left Jul 20, 2011, registered Mar 11, 2013 (600 days) · Other
W•••• F•••• A••••••• to F•••
left Jun 7, 2011, registered Jun 6, 2011 (-1 days) · Other
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• I••••••••• L••
left Sep 24, 2007, registered Dec 18, 2007 (85 days) · Other

Signals

E••• J•••• Q•••••••• left E••••• J•••• for J••• M••••• S••••••••• L•• (registered 2025-12-09)
Nov 5, 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: Wirehousederived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address