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

T•••• J••

S•••••• P••••••• I••••••••• A•••••••• L••BD affiliatedStamford, Ct IA-onlyIAPD 3171897

Certified Financial Planner

Feed of 09/15/2026

Also filed as T•••• C Jao

At current firm

1 y

since Jun 30, 2025

In the industry

27 y

since Apr 27, 1999 (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

S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated current
since Jun 30, 2025 · Danville, Ca
S•••••• W••••• M••••••••• former
Jul 14, 2015 to Sep 4, 2025 · Danville, Ca
C•••••••• W••••• M••••••••• former
Dec 12, 2014 to Sep 4, 2025 · San Ramon, Ca
C••••••• P••••••• independent RIA
Sep 16, 2013 to Jun 20, 2014 · Oakland, Ca
D••••••••• W••••• M••••••••• independent RIA
May 22, 2007 to Sep 6, 2013 · Walnut Creek, Ca
C•••••• S••••• • C••• I••• national BD
Feb 19, 2004 to Jan 25, 2006 · San Francisco, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 13, 1999 to Feb 5, 2004 · San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

C•••••••• W••••• M••••••••• to S•••••• W••••• M•••••••••
left Sep 4, 2025, registered Jul 14, 2015 (-3705 days) · Other · moved with a team
S•••••• W••••• M••••••••• to S•••••• P••••••• I••••••••• A•••••••• L••
left Sep 4, 2025, registered Jun 30, 2025 (-66 days) · RIA to affiliated broker-dealer or bank · moved with a team
C••••••• P••••••• to C•••••••• W••••• M•••••••••
left Jun 20, 2014, registered Dec 12, 2014 (175 days) · Other
D••••••••• W••••• M••••••••• to C••••••• P•••••••
left Sep 6, 2013, registered Sep 16, 2013 (10 days) · Other
C•••••• S••••• • C••• I••• to D••••••••• W••••• M•••••••••
left Jan 25, 2006, registered May 22, 2007 (482 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••
left Feb 5, 2004, registered Feb 19, 2004 (14 days) · Wirehouse to affiliated broker-dealer or bank

Signals

T•••• J•• left C•••••••• W••••• M••••••••• for S•••••• W••••• M••••••••• (registered 2015-07-14)
Sep 4, 2025 · Advisor changed firm · fact
T•••• J•• left S•••••• W••••• M••••••••• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2025-06-30)
Sep 4, 2025 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address