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••••• C•••••••• S•••••••

C•••••• S••••• • C••• I•••national BDWestlake, Txdual registrantIAPD 2959922

Feed of 09/14/2026

Also filed as Jay Shepherd

At current firm

1 y

since Jan 9, 2025

In the industry

28 y

since Feb 25, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••• S••••• • C••• I••• national BD current
since Jan 9, 2025 · Westlake, Tx
F••••• I••••••••• independent RIA
Mar 14, 2024 to Dec 20, 2024 · Plano, Tx
C•••••• S••••• • C••• I••• national BD
Jan 9, 2019 to Jan 9, 2024 · Fort Worth, Tx
F•••• C•••••• A••••••• S••••••• BD affiliated
Jan 22, 2018 to Nov 29, 2018 · Fort Worth, Tx
T• A••••••••• I••••••••• M••••••••• L•• former
Jan 13, 2011 to Aug 7, 2017 · Fort Worth, Tx
T• A••••••••• I••• former
Sep 13, 2006 to Aug 7, 2017 · Fort Worth, Tx
T• A••••••••• I••••••••• M••••••••• L•• former
Aug 24, 2006 to Dec 31, 2010 · Fort Worth, Tx
A••••••••• F•••••••• S•••••••• L•• national BD
Feb 2, 2005 to Feb 16, 2006 · San Antonio, Tx

Moves

a registration end followed by a registration begin elsewhere

F••••• I••••••••• to C•••••• S••••• • C••• I•••
left Dec 20, 2024, registered Jan 9, 2025 (20 days) · RIA to affiliated broker-dealer or bank
C•••••• S••••• • C••• I••• to F••••• I•••••••••
left Jan 9, 2024, registered Mar 14, 2024 (65 days) · Affiliated broker-dealer or bank to independent RIA
F•••• C•••••• A••••••• S••••••• to C•••••• S••••• • C••• I•••
left Nov 29, 2018, registered Jan 9, 2019 (41 days) · Affiliated broker-dealer or bank to another · moved with a team
T• A••••••••• I••••••••• M••••••••• L•• to F•••• C•••••• A••••••• S•••••••
left Aug 7, 2017, registered Jan 22, 2018 (168 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Aug 7, 2017, registered Jan 13, 2011 (-2398 days) · channel change inside one enterprise, not a move · moved with a team
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Dec 31, 2010, registered Sep 13, 2006 (-1570 days) · channel change inside one enterprise, not a move
A••••••••• F•••••••• S•••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••
left Feb 16, 2006, registered Aug 24, 2006 (189 days) · Other

Signals

J••••• C•••••••• S••••••• left F••••• I••••••••• for C•••••• S••••• • C••• I••• (registered 2025-01-09)
Dec 20, 2024 · Advisor changed firm · fact
J••••• C•••••••• S••••••• left C•••••• S••••• • C••• I••• for F••••• I••••••••• (registered 2024-03-14)
Jan 9, 2024 · 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: National broker-dealer RIAderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address