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

John Cain

Sofi Wealth LLCBD affiliatedSan Francisco, Ca dual registrantIAPD 2926879

Feed of 09/15/2026

Also filed as John Owen Cain

At current firm

0 y

since Dec 11, 2025

In the industry

19 y

since Mar 1, 2007 (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

Sofi Wealth LLC BD affiliated current
since Dec 11, 2025 · San Francisco, Ca
Empower Advisory Group, LLC BD affiliated
Jun 20, 2024 to Nov 13, 2025 · Greenwood Village, Co
Citigroup Global Markets Inc. BD affiliated
Sep 12, 2022 to Apr 29, 2024 · Jacksonville, Fl
Fidelity Personal And Workplace Advisors former
Aug 6, 2021 to Aug 23, 2022 · Jacksonville, Fl

Moves

a registration end followed by a registration begin elsewhere

Empower Advisory Group, LLC to Sofi Wealth LLC
left Nov 13, 2025, registered Dec 11, 2025 (28 days) · Affiliated broker-dealer or bank to another
Citigroup Global Markets Inc. to Empower Advisory Group, LLC
left Apr 29, 2024, registered Jun 20, 2024 (52 days) · Affiliated broker-dealer or bank to another
Fidelity Personal And Workplace Advisors to Citigroup Global Markets Inc.
left Aug 23, 2022, registered Sep 12, 2022 (20 days) · Affiliated broker-dealer or bank to another

Signals

John Cain left Empower Advisory Group, Llc for Sofi Wealth Llc (registered 2025-12-11)
Nov 13, 2025 · Advisor changed firm · fact
John Cain left Citigroup Global Markets Inc. for Empower Advisory Group, Llc (registered 2024-06-20)
Apr 29, 2024 · Advisor changed firm · fact
John Cain left Fidelity Personal And Workplace Advisors for Citigroup Global Markets Inc. (registered 2022-09-12)
Aug 23, 2022 · 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address