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••••• A•••• G•••••••

T•• A•••••••• I•••BD affiliatedSummit, Nj IA-onlyIAPD 3138329

Feed of 09/15/2026

At current firm

1 y

since May 20, 2025

In the industry

25 y

since Jul 23, 2001 (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

T•• A•••••••• I••• BD affiliated current
since May 20, 2025 · San Diego, Ca
F••••••••• C•••••• independent RIA
Jul 25, 2023 to Oct 8, 2025 · San Diego, Ca
A•••• G••••• I••••••••• unclassified
Jan 14, 2014 to Oct 10, 2024 · San Diego, Ca
A•••• G••••• I••••••••• unclassified
Oct 12, 2010 to Dec 31, 2013 · San Diego, Ca
T• A••••••••• I••••••••• M••••••••• L•• former
May 20, 2008 to Aug 12, 2010 · Carlsbad, Ca
T• A••••••••• I••• former
May 20, 2008 to Aug 12, 2010 · Carlsbad, Ca
P•••••• C•••• W••••• M••••••••• L•• unclassified
Jun 20, 2007 to Dec 31, 2007 · San Diego, Ca
L•• F•••••••• L•• BD affiliated
Sep 27, 2004 to Jun 6, 2006 · San Diego, Ca
A••••••••• A•••••• S•••••••• I••• unclassified
Oct 31, 2003 to Sep 28, 2004 · Encinitas, Ca

Moves

a registration end followed by a registration begin elsewhere

F••••••••• C•••••• to T•• A•••••••• I•••
left Oct 8, 2025, registered May 20, 2025 (-141 days) · RIA to affiliated broker-dealer or bank
A•••• G••••• I••••••••• to F••••••••• C••••••
left Oct 10, 2024, registered Jul 25, 2023 (-443 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Aug 12, 2010, registered May 20, 2008 (-814 days) · channel change inside one enterprise, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Aug 12, 2010, registered May 20, 2008 (-814 days) · Other
P•••••• C•••• W••••• M••••••••• L•• to T• A••••••••• I•••
left Dec 31, 2007, registered May 20, 2008 (141 days) · Other
L•• F•••••••• L•• to P•••••• C•••• W••••• M••••••••• L••
left Jun 6, 2006, registered Jun 20, 2007 (379 days) · Other
A••••••••• A•••••• S•••••••• I••• to L•• F•••••••• L••
left Sep 28, 2004, registered Sep 27, 2004 (-1 days) · Other

Signals

J••••• A•••• G••••••• left F••••••••• C•••••• for T•• A•••••••• I••• (registered 2025-05-20)
Oct 8, 2025 · a•••••• firm change · fact
J••••• A•••• G••••••• left A•••• G••••• I••••••••• for F••••••••• C•••••• (registered 2023-07-25)
Oct 10, 2024 · a•••••• firm change · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address