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•••• A• A•••••

C••••• I••••••••• A••••••• L••BD affiliatedSan Diego, Cadual registrantIAPD 4321249

Feed of 09/14/2026

Also filed as J•••• A• A•••••

At current firm

0 y

since Oct 13, 2025

In the industry

25 y

since Feb 28, 2001 (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••••• I••••••••• A••••••• L•• BD affiliated current
since Oct 13, 2025 · San Diego, Ca
L•• F•••••••• L•• BD affiliated
Dec 8, 2023 to Oct 8, 2025 · San Diego, Ca
F•••• G••••• A••••••• L•• asset manager
Dec 11, 2022 to Jul 21, 2023 · San Francisco, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 3, 2012 to May 25, 2021 · San Diego, Ca
M•••••• A••••• S••••••••• L•• BD affiliated
Apr 26, 2011 to Nov 16, 2011 · San Diego, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 23, 2009 to Dec 6, 2010 · San Diego, Ca
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Mar 5, 2008 to Oct 23, 2009 · La Jolla, Ca

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••
left Oct 8, 2025, registered Oct 13, 2025 (5 days) · Affiliated broker-dealer or bank to another
F•••• G••••• A••••••• L•• to L•• F•••••••• L••
left Jul 21, 2023, registered Dec 8, 2023 (140 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F•••• G••••• A••••••• L••
left May 25, 2021, registered Dec 11, 2022 (565 days) · Other
M•••••• A••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Nov 16, 2011, registered Jan 3, 2012 (48 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•••••• A••••• S••••••••• L••
left Dec 6, 2010, registered Apr 26, 2011 (141 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move

Signals

J•••• A• A••••• left L•• F•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2025-10-13)
Oct 8, 2025 · Advisor changed firm · fact
J•••• A• A••••• left F•••• G••••• A••••••• L•• for L•• F•••••••• L•• (registered 2023-12-08)
Jul 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address