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••••••••• D••• A••••

F•••• F•••••••• M••••••••• L•independent RIALombard, Il IA-onlyIAPD 4481267

Certified Financial Planner

Feed of 09/14/2026

Also filed as J••••••••• D••• A••••

At current firm

0 y

since Jun 23, 2026

In the industry

24 y

since Apr 8, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

F•••• F•••••••• M••••••••• L• independent RIA current
since Jun 23, 2026 · Lombard, Il
O•••• W•••••• I••• BD affiliated
Feb 13, 2025 to Apr 29, 2026 · Laguna Niguel, Ca
G•••• M• F••••••• state registered
Feb 5, 2025 to May 26, 2026 · Carlsbad, Ca
G•••• P••• A•••••••• L•• independent RIA
Jul 30, 2024 to Jan 14, 2025 · Los Altos, Ca
S•••••••• I••••••••• G••••• L•• independent RIA
Oct 3, 2022 to Jul 17, 2024 · Newport Beach, Ca
P••••••• M•••• M••••••••• L•• state registered
Jan 26, 2022 to Oct 13, 2022 · Wayne, Pa
M••••• G••••• A••••••• I••• independent RIA
Jul 27, 2021 to Nov 17, 2021 · Denver, Co
F••••••• P••••••• A•• W•••••••• A••••••• former
Feb 18, 2020 to Mar 13, 2021 · Scottsdale, Az
A••••• A•• P••••••• S••••••• BD affiliated
Dec 3, 2015 to Dec 6, 2019 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

G•••• M• F••••••• to O•••• W•••••• I•••
left May 26, 2026, registered Feb 13, 2025 (-467 days) · Other
O•••• W•••••• I••• to F•••• F•••••••• M••••••••• L•
left Apr 29, 2026, registered Jun 23, 2026 (55 days) · Affiliated broker-dealer or bank to independent RIA
G•••• P••• A•••••••• L•• to G•••• M• F•••••••
left Jan 14, 2025, registered Feb 5, 2025 (22 days) · RIA to a state-registered adviser
S•••••••• I••••••••• G••••• L•• to G•••• P••• A•••••••• L••
left Jul 17, 2024, registered Jul 30, 2024 (13 days) · RIA to RIA
P••••••• M•••• M••••••••• L•• to S•••••••• I••••••••• G••••• L••
left Oct 13, 2022, registered Oct 3, 2022 (-10 days) · Other
M••••• G••••• A••••••• I••• to P••••••• M•••• M••••••••• L••
left Nov 17, 2021, registered Jan 26, 2022 (70 days) · RIA to a state-registered adviser
F••••••• P••••••• A•• W•••••••• A••••••• to M••••• G••••• A••••••• I•••
left Mar 13, 2021, registered Jul 27, 2021 (136 days) · Affiliated broker-dealer or bank to independent RIA
A••••• A•• P••••••• S••••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Dec 6, 2019, registered Feb 18, 2020 (74 days) · Affiliated broker-dealer or bank to another

Signals

J••••••••• D••• A•••• left G•••• M• F••••••• for O•••• W•••••• I••• (registered 2025-02-13)
May 26, 2026 · Advisor changed firm · fact
J••••••••• D••• A•••• left O•••• W•••••• I••• for F•••• F•••••••• M••••••••• L• (registered 2026-06-23)
Apr 29, 2026 · Advisor changed firm · fact
J••••••••• D••• A•••• left G•••• P••• A•••••••• L•• for G•••• M• F••••••• (registered 2025-02-05)
Jan 14, 2025 · Advisor changed firm · fact
J••••••••• D••• A•••• left S•••••••• I••••••••• G••••• L•• for G•••• P••• A•••••••• L•• (registered 2024-07-30)
Jul 17, 2024 · Advisor changed firm · fact
J••••••••• D••• A•••• left P••••••• M•••• M••••••••• L•• for S•••••••• I••••••••• G••••• L•• (registered 2022-10-03)
Oct 13, 2022 · 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address