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
John Han
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as John Quoc Han
At current firm
2 y
since Oct 13, 2023
In the industry
25 y
since Jul 19, 2001 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Mariner Independent independent RIA currentsince Oct 13, 2023 · Campbell, Ca
- United Capital Financial Advisors independent RIAJul 18, 2014 to Nov 9, 2023 · San Jose, Ca
- Beacon Pointe Wealth Advisors, LLC formerSep 16, 2011 to Jul 21, 2014 · San Jose, Ca
- Excelcia Financial Group, Ltd. unclassifiedJan 5, 2011 to Oct 31, 2011 · San Jose, Ca
- Berthel Fisher & Company Financial Services, Inc. BD affiliatedMay 27, 2010 to Dec 3, 2010 · San Jose, Ca
- Excelcia Capital Management, LLC unclassifiedApr 2, 2008 to May 25, 2010 · Santa Clara, Ca
- Afa Advisor Services LLC unclassifiedSep 6, 2006 to Apr 29, 2010 · Santa Clara, Ca
- Ameriprise Financial Services, LLC national BDDec 1, 2004 to Oct 20, 2005 · Santa Clara , Ca
- Ameriprise Financial Services, LLC national BDAug 17, 2001 to Oct 14, 2003 · Campbell, Ca
Moves
a registration end followed by a registration begin elsewhere
- United Capital Financial Advisors to Mariner Independentleft Nov 9, 2023, registered Oct 13, 2023 (-27 days) · RIA to RIA
- Beacon Pointe Wealth Advisors, LLC to United Capital Financial Advisorsleft Jul 21, 2014, registered Jul 18, 2014 (-3 days) · Other
- Excelcia Financial Group, Ltd. to Beacon Pointe Wealth Advisors, LLCleft Oct 31, 2011, registered Sep 16, 2011 (-45 days) · Other
- Berthel Fisher & Company Financial Services, Inc. to Excelcia Financial Group, Ltd.left Dec 3, 2010, registered Jan 5, 2011 (33 days) · Other
- Excelcia Capital Management, LLC to Berthel Fisher & Company Financial Services, Inc.left May 25, 2010, registered May 27, 2010 (2 days) · Other
- Afa Advisor Services LLC to Excelcia Capital Management, LLCleft Apr 29, 2010, registered Apr 2, 2008 (-757 days) · Other
- Ameriprise Financial Services, LLC to Afa Advisor Services LLCleft Oct 20, 2005, registered Sep 6, 2006 (321 days) · Other
Signals
- John Han left United Capital Financial Advisors for Mariner Independent (registered 2023-10-13)Nov 9, 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address