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

F•••• J• C•••••

C••••• I••••••••• A••••••• L••BD affiliatedScottsdale, Azdual registrantIAPD 3022262

Feed of 09/14/2026

Also filed as F•••• John C•••••

At current firm

1 y

since Sep 5, 2025

In the industry

28 y

since Mar 19, 1998 (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••••• I••••••••• A••••••• L•• BD affiliated current
since Sep 5, 2025 · Scottsdale, Az
A•••••• A••••••• S••••••• former
Jun 22, 2023 to Sep 5, 2025 · Scottsdale, Az
S••••••••• A•••••• A•••••••• I••• former
Dec 27, 2018 to Jun 26, 2023 · Scottsdale, Az
Q•••••• A•••• M••••••••• I••• former
Aug 9, 2011 to Dec 31, 2018 · Minneapolis, Mn
L•• F•••••••• L•• BD affiliated
Sep 26, 2006 to Aug 18, 2009 · Phoenix, Az
U•••••• W••••• M••••••••• L•• former
Apr 5, 2005 to Dec 13, 2006 · Phoenix, Az
G•••••••• F••••••••• I•• unclassified
Sep 16, 2004 to Sep 27, 2006 · Scottsdale, Az
O•••• W•••••• I••• BD affiliated
Dec 4, 2003 to Oct 11, 2004 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••
left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
S••••••••• A•••••• A•••••••• I••• to A•••••• A••••••• S•••••••
left Jun 26, 2023, registered Jun 22, 2023 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
Q•••••• A•••• M••••••••• I••• to S••••••••• A•••••• A•••••••• I•••
left Dec 31, 2018, registered Dec 27, 2018 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
L•• F•••••••• L•• to Q•••••• A•••• M••••••••• I•••
left Aug 18, 2009, registered Aug 9, 2011 (721 days) · Other
U•••••• W••••• M••••••••• L•• to L•• F•••••••• L••
left Dec 13, 2006, registered Sep 26, 2006 (-78 days) · Other
G•••••••• F••••••••• I•• to U•••••• W••••• M••••••••• L••
left Sep 27, 2006, registered Apr 5, 2005 (-540 days) · Other
O•••• W•••••• I••• to G•••••••• F••••••••• I••
left Oct 11, 2004, registered Sep 16, 2004 (-25 days) · Other

Signals

F•••• J• C••••• left S••••••••• A•••••• A•••••••• I••• for A•••••• A••••••• S••••••• (registered 2023-06-22)
Jun 26, 2023 · 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address