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••••••••• R••••••• A•••••••• I•••BD affiliatedHenderson, Nv dual registrantIAPD 4419178

Feed of 09/15/2026

Also filed as J••••• A•• A••••

At current firm

5 y

since Jul 1, 2021

In the industry

22 y

since Sep 19, 2003 (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, 2021 · Las Vegas, Nv
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 9, 2018 to Aug 20, 2019 · Las Vegas, Nv
A••••• A•• P••••••• S••••••• BD affiliated
Aug 27, 2014 to May 17, 2016 · Las Vegas, Nv
R•••• A••••••• S•••••••• I••• independent RIA
Mar 7, 2011 to Aug 5, 2014 · Henderson, Nv
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Sep 22, 2003 to Mar 10, 2009 · Las Vegas, Nv

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Aug 20, 2019, registered Jul 1, 2021 (681 days) · Wirehouse to affiliated broker-dealer or bank
A••••• A•• P••••••• S••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left May 17, 2016, registered Jan 9, 2018 (602 days) · Other
R•••• A••••••• S•••••••• I••• to A••••• A•• P••••••• S•••••••
left Aug 5, 2014, registered Aug 27, 2014 (22 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to R•••• A••••••• S•••••••• I•••
left Mar 10, 2009, registered Mar 7, 2011 (727 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: 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