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

I•• J•••••• C••••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedMidlothian, Va dual registrantIAPD 4380754

Feed of 09/15/2026

At current firm

2 y

since Jul 1, 2024

In the industry

25 y

since Jun 20, 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•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Jul 1, 2024 · Glen Allen, Va
T••••• A••••••• S•••••••• I••• BD affiliated
Aug 4, 2017 to Jul 1, 2024 · Richmond, Va
L•• F•••••••• L•• BD affiliated
Oct 5, 2015 to Jul 27, 2017 · Midlothian, Va
M••••• S•••••• wirehouse
Sep 3, 2013 to Jul 9, 2015 · Washington, Dc
S••••••• I••••••••• S•••••••• I••• former
Dec 11, 2007 to Aug 28, 2013 · Richmond, Va
W•••• F•••• A••••••• wirehouse
Mar 24, 2006 to Dec 6, 2007 · St. Louis, Mo
S•••••••• F••••••••• I••• former
Oct 31, 2005 to Mar 21, 2006 · Phoenix, Az
S••••••••• S••••••••• I••• unclassified
Jul 1, 2004 to Nov 4, 2005 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

T••••• A••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Jul 1, 2024, registered Jul 1, 2024 (0 days) · Affiliated broker-dealer or bank to another
L•• F•••••••• L•• to T••••• A••••••• S•••••••• I•••
left Jul 27, 2017, registered Aug 4, 2017 (8 days) · Other
M••••• S•••••• to L•• F•••••••• L••
left Jul 9, 2015, registered Oct 5, 2015 (88 days) · Other
S••••••• I••••••••• S•••••••• I••• to M••••• S••••••
left Aug 28, 2013, registered Sep 3, 2013 (6 days) · Other
W•••• F•••• A••••••• to S••••••• I••••••••• S•••••••• I•••
left Dec 6, 2007, registered Dec 11, 2007 (5 days) · Other
S•••••••• F••••••••• I••• to W•••• F•••• A•••••••
left Mar 21, 2006, registered Mar 24, 2006 (3 days) · Other
S••••••••• S••••••••• I••• to S•••••••• F••••••••• I•••
left Nov 4, 2005, registered Oct 31, 2005 (-4 days) · Other

Signals

I•• J•••••• C•••••• left T••••• A••••••• S•••••••• I••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2024-07-01)
Jul 1, 2024 · 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