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• S••••••• F•••••

C••••••• F•••••••• D••••••• I•••BD affiliatedCincinnati, Oh dual registrantIAPD 3008070

Feed of 09/15/2026

Also filed as Joshua S••••••• F•••••

At current firm

9 y

since Dec 2, 2016

In the industry

26 y

since Dec 22, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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

C••••••• F•••••••• D••••••• I••• BD affiliated current
since Dec 2, 2016 · Cincinnati, Oh
F••••• A••••••• unclassified
Aug 1, 2016 to May 4, 2017 · Cincinnati, Oh
M•••• C••••••• A••••••• S•••••• BD affiliated
Jun 6, 2016 to Jul 15, 2016 · Cincinnati, Oh
F••••• A••••••• unclassified
Feb 8, 2016 to Jul 1, 2016 · Cincinnati, Oh
W•••••••• F•••••••• S•••••••• I••• unclassified
Aug 21, 2006 to Nov 9, 2015 · Cincinnati, Oh
U•• F•••••••• S••••••• I••• wirehouse
Sep 21, 2004 to Sep 20, 2006 · Cincinnati, Oh
Q•••• • R•••••• I••• unclassified
Dec 16, 2002 to Sep 16, 2004 · Cincinnati, Oh

Moves

a registration end followed by a registration begin elsewhere

F••••• A••••••• to C••••••• F•••••••• D••••••• I•••
left May 4, 2017, registered Dec 2, 2016 (-153 days) · Other
M•••• C••••••• A••••••• S•••••• to F••••• A•••••••
left Jul 15, 2016, registered Aug 1, 2016 (17 days) · Other
F••••• A••••••• to M•••• C••••••• A••••••• S••••••
left Jul 1, 2016, registered Jun 6, 2016 (-25 days) · Other
W•••••••• F•••••••• S•••••••• I••• to F••••• A•••••••
left Nov 9, 2015, registered Feb 8, 2016 (91 days) · Other
U•• F•••••••• S••••••• I••• to W•••••••• F•••••••• S•••••••• I•••
left Sep 20, 2006, registered Aug 21, 2006 (-30 days) · Other
Q•••• • R•••••• I••• to U•• F•••••••• S••••••• I•••
left Sep 16, 2004, registered Sep 21, 2004 (5 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address