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•••• G•••••• L••••

C•••••• S••••• • C••• I•••national BDWestlake, Txdual registrantIAPD 3028260

Feed of 09/14/2026

Also filed as J•••• G•••••• L••••

At current firm

0 y

since Jan 22, 2026

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

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•••••• S••••• • C••• I••• national BD current
since Jan 22, 2026 · Westlake, Tx
A••••••••• F•••••••• S•••••••• L•• national BD
Apr 29, 2025 to Jan 6, 2026 · Gunter, Tx
E•••• S••••••••• L•• BD affiliated
Dec 10, 2012 to Apr 21, 2025 · Kennewick, Wa
L•• F•••••••• L•• BD affiliated
Feb 2, 2012 to Oct 22, 2012 · Olympia, Wa
N•• A•••••• S•••••••• L•• former
Nov 20, 2007 to Jul 19, 2011 · Austin, Tx
M• H••••••• S••••••••• I••• BD affiliated
Dec 1, 2006 to Nov 15, 2007 · Portland, Or
N•• A•••••• S•••••••• L•• former
Apr 1, 2003 to Nov 2, 2006 · Austin, Tx

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to C•••••• S••••• • C••• I•••
left Jan 6, 2026, registered Jan 22, 2026 (16 days) · Affiliated broker-dealer or bank to another · moved with a team
E•••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Apr 21, 2025, registered Apr 29, 2025 (8 days) · Affiliated broker-dealer or bank to another
L•• F•••••••• L•• to E•••• S••••••••• L••
left Oct 22, 2012, registered Dec 10, 2012 (49 days) · Other
N•• A•••••• S•••••••• L•• to L•• F•••••••• L••
left Jul 19, 2011, registered Feb 2, 2012 (198 days) · Other
M• H••••••• S••••••••• I••• to N•• A•••••• S•••••••• L••
left Nov 15, 2007, registered Nov 20, 2007 (5 days) · Other
N•• A•••••• S•••••••• L•• to M• H••••••• S••••••••• I•••
left Nov 2, 2006, registered Dec 1, 2006 (29 days) · Other

Signals

J•••• G•••••• L•••• left A••••••••• F•••••••• S•••••••• L•• for C•••••• S••••• • C••• I••• (registered 2026-01-22)
Jan 6, 2026 · a•••••• firm change · fact
J•••• G•••••• L•••• left E•••• S••••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-04-29)
Apr 21, 2025 · a•••••• firm change · 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