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.
Registered advisor
Daniel Lee Jones
Feed of 09/15/2026
Also filed as Dan Jones
At current firm
6 y
since Oct 3, 2019
In the industry
29 y
since Jan 2, 1997 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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 Oct 3, 2019 · Richton, Ms
- Cetera Investment Advisers LLC BD affiliatedJun 3, 2019 to Aug 19, 2019 · Hattiesburg, Ms
- Osaic Institutions, Inc. BD affiliatedDec 2, 2013 to Jun 10, 2019 · Hattiesburg, Ms
- Bancorpsouth Investment Services, Inc. formerApr 30, 2003 to Dec 2, 2013 · Hattiesburg, Ms
Moves
a registration end followed by a registration begin elsewhere
- Cetera Investment Advisers LLC to LPL Financial LLCleft Aug 19, 2019, registered Oct 3, 2019 (45 days) · Affiliated broker-dealer or bank to another · moved with a team
- Osaic Institutions, Inc. to Cetera Investment Advisers LLCleft Jun 10, 2019, registered Jun 3, 2019 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
- Bancorpsouth Investment Services, Inc. to Osaic Institutions, Inc.left Dec 2, 2013, registered Dec 2, 2013 (0 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address