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.
Registered advisor
Joel David Goldberg
Feed of 09/14/2026
At current firm
14 y
since Sep 17, 2012
In the industry
26 y
since Jan 10, 2000 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Wells Fargo Advisors wirehouse currentsince Sep 17, 2012 · San Luis Obispo, Ca
- Chase Investment Services Corp. formerMay 2, 2009 to Sep 13, 2012 · Ventura, Ca
- Wamu Investments, Inc. unclassifiedJun 9, 2003 to May 2, 2009 · Ojai, Ca
Moves
a registration end followed by a registration begin elsewhere
- Chase Investment Services Corp. to Wells Fargo Advisorsleft Sep 13, 2012, registered Sep 17, 2012 (4 days) · Other
- Wamu Investments, Inc. to Chase Investment Services Corp.left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address