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

P•••••• J••••• C••••••

Y••••••• M••••••••• A•• R••••••• C• I••asset managerForest, Va dual registrantIAPD 2979426

Feed of 09/14/2026

At current firm

3 y

since Sep 6, 2023

In the industry

28 y

since May 8, 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

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Y••••••• M••••••••• A•• R••••••• C• I•• asset manager current
since Sep 6, 2023 · Seattle, Wa
Y••••••• M••••••••• A•• R••••••• C• I•• asset manager
May 23, 2016 to Dec 31, 2020 · Seattle, Wa
C••••••• M••••••••• I••••••••• A•••••••• L•• asset manager
Oct 3, 2011 to Oct 9, 2014 · Seattle, Wa
T••••••••• A••••••• I•• asset manager
Mar 20, 2008 to Oct 6, 2011 · Cincinnati, Oh
A••••• A•• P••••••• S••••••• BD affiliated
Aug 1, 2005 to Mar 3, 2006 · Kirkland, Wa

Moves

a registration end followed by a registration begin elsewhere

C••••••• M••••••••• I••••••••• A•••••••• L•• to Y••••••• M••••••••• A•• R••••••• C• I••
left Oct 9, 2014, registered May 23, 2016 (592 days) · Other
T••••••••• A••••••• I•• to C••••••• M••••••••• I••••••••• A•••••••• L••
left Oct 6, 2011, registered Oct 3, 2011 (-3 days) · Other
A••••• A•• P••••••• S••••••• to T••••••••• A••••••• I••
left Mar 3, 2006, registered Mar 20, 2008 (748 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: Asset manager (funds and pooled vehicles)derived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address