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••• D•••• A•••••••

L•• F•••••••• L••BD affiliatedSan Diego, Ca dual registrantIAPD 2818878

Feed of 09/15/2026

At current firm

2 y

since May 10, 2024

In the industry

28 y

since Jan 15, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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

L•• F•••••••• L•• BD affiliated current
since May 10, 2024 · Line Lexington, Pa
S••••••••• A•••••• A•••••••• I••• former
Oct 25, 2017 to Jun 3, 2024 · Doylestown, Pa
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Nov 3, 2014 to Oct 24, 2017 · Doylestown, Pa
C••• B•••••••• S•••••••• I••• former
Aug 5, 2014 to Sep 23, 2014 · New Britain, Pa
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Apr 12, 2013 to Jul 25, 2014 · Kailua-Kona, Hi
K•• I••••••••• S••••••• L•• BD affiliated
Aug 1, 2012 to Feb 20, 2013 · Denver, Co
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Nov 25, 2008 to Jul 31, 2012 · Los Angeles, Ca
S•••••••• F••••••••• I••• former
Mar 14, 2006 to Nov 28, 2008 · Perkasie, Pa
T•• M••••• F••• A•••••• unclassified
Sep 12, 2003 to Mar 14, 2006 · Kailua-Kona, Hi

Moves

a registration end followed by a registration begin elsewhere

S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••
left Jun 3, 2024, registered May 10, 2024 (-24 days) · Affiliated broker-dealer or bank to another
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to S••••••••• A•••••• A•••••••• I•••
left Oct 24, 2017, registered Oct 25, 2017 (1 days) · Other
C••• B•••••••• S•••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
left Sep 23, 2014, registered Nov 3, 2014 (41 days) · Other
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to C••• B•••••••• S•••••••• I•••
left Jul 25, 2014, registered Aug 5, 2014 (11 days) · Other
K•• I••••••••• S••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
left Feb 20, 2013, registered Apr 12, 2013 (51 days) · Other
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to K•• I••••••••• S••••••• L••
left Jul 31, 2012, registered Aug 1, 2012 (1 days) · Other
S•••••••• F••••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
left Nov 28, 2008, registered Nov 25, 2008 (-3 days) · Other
T•• M••••• F••• A•••••• to S•••••••• F••••••••• I•••
left Mar 14, 2006, registered Mar 14, 2006 (0 days) · Other

Signals

J••• D•••• A••••••• left S••••••••• A•••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2024-05-10)
Jun 3, 2024 · a•••••• firm change · 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address