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••••••• L•••• S••••••

R•••••• J•••• • A••••••••• I•••national BDSioux Falls, Sddual registrantIAPD 3048692

Feed of 09/14/2026

At current firm

3 y

since Sep 15, 2023

In the industry

25 y

since Oct 30, 2000 (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

R•••••• J•••• • A••••••••• I••• national BD current
since Sep 15, 2023 · Sioux Falls, Sd
S•••••• N••••••• • C••••••• I••••••••• national BD
Apr 21, 2016 to Sep 13, 2023 · Sioux Falls, Sd
M••••• S•••••• wirehouse
Jun 1, 2009 to Apr 19, 2016 · Sioux Falls, Sd
C•••••••• G••••• M•••••• I••• BD affiliated
Nov 20, 2000 to Jun 1, 2009 · Sioux Falls, Sd

Moves

a registration end followed by a registration begin elsewhere

S•••••• N••••••• • C••••••• I••••••••• to R•••••• J•••• • A••••••••• I•••
left Sep 13, 2023, registered Sep 15, 2023 (2 days) · Affiliated broker-dealer or bank to another · moved with a team
M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••
left Apr 19, 2016, registered Apr 21, 2016 (2 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

Signals

J••••••• L•••• S•••••• left S•••••• N••••••• • C••••••• I••••••••• for R•••••• J•••• • A••••••••• I••• (registered 2023-09-15)
Sep 13, 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: National broker-dealer RIAderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address