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••••••

M••••• G••••• A••••••• I•••independent RIABend, Or IA-onlyIAPD 3070826

Feed of 09/14/2026

Also filed as John S Swanson

At current firm

1 y

since Apr 8, 2025

In the industry

27 y

since May 17, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M••••• G••••• A••••••• I••• independent RIA current
since Apr 8, 2025 · Bend, Or
H•••••••• A•••••••• L•• BD affiliated
Sep 2, 2022 to Jan 2, 2025 · Bend, Or
S••••••• W••••• M••••••••• L•• former
Jun 5, 2014 to Nov 18, 2022 · Bend, Or
F•••••••• C•••••• M••••••••• L•• independent RIA
Jan 9, 2012 to Jun 10, 2014 · Seattle, Wa
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to Jan 10, 2012 · Bend, Or
W•••• F•••• I••••••••• L•• unclassified
May 10, 2002 to Jan 3, 2011 · Bend, Or

Moves

a registration end followed by a registration begin elsewhere

H•••••••• A•••••••• L•• to M••••• G••••• A••••••• I•••
left Jan 2, 2025, registered Apr 8, 2025 (96 days) · Affiliated broker-dealer or bank to independent RIA
S••••••• W••••• M••••••••• L•• to H•••••••• A•••••••• L••
left Nov 18, 2022, registered Sep 2, 2022 (-77 days) · RIA to affiliated broker-dealer or bank
F•••••••• C•••••• M••••••••• L•• to S••••••• W••••• M••••••••• L••
left Jun 10, 2014, registered Jun 5, 2014 (-5 days) · Other
W•••• F•••• A••••••• to F•••••••• C•••••• M••••••••• L••
left Jan 10, 2012, registered Jan 9, 2012 (-1 days) · Other
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move

Signals

J••• S•••••• left H•••••••• A•••••••• L•• for M••••• G••••• A••••••• I••• (registered 2025-04-08)
Jan 2, 2025 · Advisor changed firm · fact
J••• S•••••• left S••••••• W••••• M••••••••• L•• for H•••••••• A•••••••• L•• (registered 2022-09-02)
Nov 18, 2022 · 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: Independent wealth managerderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address