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

S•••••• J•••••• O••••••

O•••• W•••••• I•••BD affiliatedPeoria, Azdual registrantIAPD 3173509

Feed of 09/14/2026

Also filed as S•••••• J Deardoroff

At current firm

2 y

since Aug 9, 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

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O•••• W•••••• I••• BD affiliated current
since Aug 9, 2024 · Peoria, Az
C••••• I••••••••• A••••••• L•• BD affiliated
Nov 22, 2023 to Aug 9, 2024 · Peoria, Az
W••••••• F•••••••• S•••••••• I••• former
Oct 27, 2017 to Nov 21, 2023 · Peoria, Az
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Jun 5, 2012 to Oct 23, 2017 · Glendale, Az
N••• F•••••••• G••••• I••• former
Jun 14, 2007 to Jun 4, 2012 · Houston, Tx
L•• F•••••••• L•• BD affiliated
Dec 17, 2001 to Jun 14, 2007 · Glendale, Az

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to O•••• W•••••• I•••
left Aug 9, 2024, registered Aug 9, 2024 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
W••••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••
left Nov 21, 2023, registered Nov 22, 2023 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to W••••••• F•••••••• S•••••••• I•••
left Oct 23, 2017, registered Oct 27, 2017 (4 days) · Other · moved with a team
N••• F•••••••• G••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
left Jun 4, 2012, registered Jun 5, 2012 (1 days) · Other
L•• F•••••••• L•• to N••• F•••••••• G••••• I•••
left Jun 14, 2007, registered Jun 14, 2007 (0 days) · Other

Signals

S•••••• J•••••• O•••••• left C••••• I••••••••• A••••••• L•• for O•••• W•••••• I••• (registered 2024-08-09)
Aug 9, 2024 · Advisor changed firm · fact
S•••••• J•••••• O•••••• left W••••••• F•••••••• S•••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2023-11-22)
Nov 21, 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: 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