DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
J•••• L••••• L••••
Feed of 09/15/2026
Also filed as Jim L••••
At current firm
2 y
since May 13, 2024
In the industry
28 y
since Aug 20, 1998 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince May 13, 2024 · Walnut Creek, Ca
- M••••• S•••••• wirehouseOct 23, 2015 to May 21, 2024 · Pleasanton, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 10, 2007 to Oct 27, 2015 · San Francisco, Ca
- U•• F•••••••• S••••••• I••• wirehouseSep 5, 2000 to Aug 21, 2007 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to W•••• F•••• A•••••••left May 21, 2024, registered May 13, 2024 (-8 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Oct 27, 2015, registered Oct 23, 2015 (-4 days) · Wirehouse to wirehouse · moved with a team
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 21, 2007, registered Aug 10, 2007 (-11 days) · Wirehouse to wirehouse
Signals
- J•••• L••••• L•••• left M••••• S•••••• for W•••• F•••• A••••••• (registered 2024-05-13)May 21, 2024 · 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address