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

Jay H Kim

Osaic Wealth, Inc.BD affiliatedSacramento, Cadual registrantIAPD 4317260

Feed of 09/14/2026

At current firm

0 y

since Aug 11, 2026

In the industry

22 y

since Jun 1, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Osaic Wealth, Inc. BD affiliated current
since Aug 11, 2026 · Sacramento, Ca
Cambridge Investment Research Advisors, Inc. BD affiliated
Jun 1, 2022 to Aug 13, 2026 · Sacramento, Ca
Mariner Advisor Network BD affiliated
Jun 18, 2021 to Apr 11, 2022 · Sacramento, Ca
LPL Financial LLC BD affiliated
Apr 3, 2019 to Apr 26, 2022 · Sacramento, Ca
Charles Schwab & Co., Inc. national BD
Jun 3, 2008 to Apr 11, 2019 · Sacramento, Ca
Cetera Advisor Networks LLC former
Sep 5, 2006 to May 14, 2008 · Sacramento, Ca
Osaic Fa, Inc. former
Jun 3, 2004 to Jul 13, 2006 · Sacramento, Ca

Moves

a registration end followed by a registration begin elsewhere

Cambridge Investment Research Advisors, Inc. to Osaic Wealth, Inc.
left Aug 13, 2026, registered Aug 11, 2026 (-2 days) · Affiliated broker-dealer or bank to another
LPL Financial LLC to Mariner Advisor Network
left Apr 26, 2022, registered Jun 18, 2021 (-312 days) · RIA to RIA
Mariner Advisor Network to Cambridge Investment Research Advisors, Inc.
left Apr 11, 2022, registered Jun 1, 2022 (51 days) · RIA to affiliated broker-dealer or bank
Charles Schwab & Co., Inc. to LPL Financial LLC
left Apr 11, 2019, registered Apr 3, 2019 (-8 days) · Affiliated broker-dealer or bank to independent RIA
Cetera Advisor Networks LLC to Charles Schwab & Co., Inc.
left May 14, 2008, registered Jun 3, 2008 (20 days) · Other
Osaic Fa, Inc. to Cetera Advisor Networks LLC
left Jul 13, 2006, registered Sep 5, 2006 (54 days) · Other

Signals

Jay H Kim left Cambridge Investment Research Advisors, Inc. for Osaic Wealth, Inc. (registered 2026-08-11)
Aug 13, 2026 · Advisor changed firm · fact
Jay H Kim left Lpl Financial Llc for Mariner Advisor Network (registered 2021-06-18)
Apr 26, 2022 · Advisor changed firm · fact
Jay H Kim left Mariner Advisor Network for Cambridge Investment Research Advisors, Inc. (registered 2022-06-01)
Apr 11, 2022 · 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address