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

A•••••• J•••• L•••

R•••••• J•••• • A••••••••• I•••national BDStuart, Fl dual registrantIAPD 3135771

Certified Financial Planner

Feed of 09/15/2026

At current firm

2 y

since Apr 3, 2024

In the industry

27 y

since Dec 1, 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

R•••••• J•••• • A••••••••• I••• national BD current
since Apr 3, 2024 · Stuart, Fl
A••••••••• F•••••••• S•••••••• L•• national BD
Aug 22, 2023 to Apr 9, 2024 · Palm Beach Gardens, Fl
C••••••• S••••••••• former
Nov 3, 2009 to Nov 6, 2023 · Palm Beach Gardens, Fl
C••••• I••••••••• S••••••• L•• former
Feb 15, 2006 to Oct 16, 2009 · Port St. Lucie, Fl
N•••••• I••••••••• I••• unclassified
Jan 1, 2000 to Feb 1, 2006 · Columbus, Oh

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• • A••••••••• I•••
left Apr 9, 2024, registered Apr 3, 2024 (-6 days) · Affiliated broker-dealer or bank to another
C••••••• S••••••••• to A••••••••• F•••••••• S•••••••• L••
left Nov 6, 2023, registered Aug 22, 2023 (-76 days) · corporate re-registration, not a move
C••••• I••••••••• S••••••• L•• to C••••••• S•••••••••
left Oct 16, 2009, registered Nov 3, 2009 (18 days) · Other
N•••••• I••••••••• I••• to C••••• I••••••••• S••••••• L••
left Feb 1, 2006, registered Feb 15, 2006 (14 days) · Other

Signals

A•••••• J•••• L••• left A••••••••• F•••••••• S•••••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2024-04-03)
Apr 9, 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: National broker-dealer RIAderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address