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••••••• C••••

C•••• C••••••formerFoster City, CaIA-onlyIAPD 3126474

Feed of 09/14/2026

At current firm

3 y

since Apr 27, 2023

In the industry

27 y

since Oct 10, 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•••• C•••••• former current
since Apr 27, 2023 · Foster City, Ca
F••••• I••••••••• independent RIA
Nov 2, 2005 to Apr 3, 2023 · Plano, Tx
M••••• S•••••• D• I••• unclassified
Nov 30, 2004 to Dec 2, 2004 · Aurora, Co
C••••••• M••••••••• A•••••••• I••• unclassified
Apr 1, 2003 to Apr 28, 2003 · Portland, Or
S•••• R•• • F•••••• I••••••••• unclassified
Jun 8, 2001 to Apr 1, 2003 · Aurora, Co

Moves

a registration end followed by a registration begin elsewhere

F••••• I••••••••• to C•••• C••••••
left Apr 3, 2023, registered Apr 27, 2023 (24 days) · RIA to a newly registered adviser
M••••• S•••••• D• I••• to F••••• I•••••••••
left Dec 2, 2004, registered Nov 2, 2005 (335 days) · Other
C••••••• M••••••••• A•••••••• I••• to M••••• S•••••• D• I•••
left Apr 28, 2003, registered Nov 30, 2004 (582 days) · Other
S•••• R•• • F•••••• I••••••••• to C••••••• M••••••••• A•••••••• I•••
left Apr 1, 2003, registered Apr 1, 2003 (0 days) · Other

Signals

J•••• L••••••• C•••• left F••••• I••••••••• for C•••• C•••••• (registered 2023-04-27)
Apr 3, 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: Former SEC-registered adviserderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address