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

N••••• R•••••• J•••

C••••• P••••••• L••independent RIACosta Mesa, Ca IA-onlyIAPD 4318363

Certified Financial Planner

Feed of 09/15/2026

Also filed as N••••• R•••••• Yee

At current firm

13 y

since Feb 13, 2013

In the industry

25 y

since Jun 4, 2001 (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

C••••• P••••••• L•• independent RIA current
since Feb 13, 2013 · Costa Mesa, Ca
M•••••••• A••••••• former
Nov 16, 2006 to Nov 16, 2012 · Irvine, Ca
M• H••••••• S••••••••• I••• BD affiliated
Jun 1, 2006 to Nov 7, 2006 · Newport Beach, Ca
T•• A••••••• S••••••• C••••••••• unclassified
Mar 7, 2005 to Apr 26, 2007 · Newport Beach, Ca
G•••••• S•••• W••••• S•••••••• L••• BD affiliated
Jun 20, 2001 to Oct 28, 2004 · Irvine, Ca

Moves

a registration end followed by a registration begin elsewhere

M•••••••• A••••••• to C••••• P••••••• L••
left Nov 16, 2012, registered Feb 13, 2013 (89 days) · Other
T•• A••••••• S••••••• C••••••••• to M• H••••••• S••••••••• I•••
left Apr 26, 2007, registered Jun 1, 2006 (-329 days) · Other
M• H••••••• S••••••••• I••• to M•••••••• A•••••••
left Nov 7, 2006, registered Nov 16, 2006 (9 days) · Other
G•••••• S•••• W••••• S•••••••• L••• to T•• A••••••• S••••••• C•••••••••
left Oct 28, 2004, registered Mar 7, 2005 (130 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address