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•• C••••••••• F•••

C••••••••• W••••• M•••••••••independent RIASan Jose, Cadual registrantIAPD 3242313

Certified Financial Planner

Feed of 09/14/2026

At current firm

13 y

since Apr 19, 2013

In the industry

26 y

since Oct 29, 1999 (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

C••••••••• W••••• M••••••••• independent RIA current
since Apr 19, 2013 · San Jose, Ca
R•••••• J•••• • A••••••••• I••• national BD
Mar 5, 2009 to Apr 25, 2013 · San Jose, Ca
W•••• F•••• A••••••• wirehouse
Jan 1, 2008 to Mar 6, 2009 · San Jose, Ca
A• G• E•••••• • S•••• I••• unclassified
Apr 13, 2006 to Jan 1, 2008 · St. Louis, Mo
C•••••••• G••••• M•••••• I••• BD affiliated
Jun 18, 2001 to Apr 25, 2006 · San Jose, Ca

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• • A••••••••• I••• to C••••••••• W••••• M•••••••••
left Apr 25, 2013, registered Apr 19, 2013 (-6 days) · Affiliated broker-dealer or bank to a newly registered adviser
W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••
left Mar 6, 2009, registered Mar 5, 2009 (-1 days) · Wirehouse to affiliated broker-dealer or bank
A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
C•••••••• G••••• M•••••• I••• to A• G• E•••••• • S•••• I•••
left Apr 25, 2006, registered Apr 13, 2006 (-12 days) · Other

Signals

No dated event on this person.

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: Independent wealth managerderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address