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••••• C•••••

J••• M••••• S••••••••• L••wirehouseNewport Coast, Ca dual registrantIAPD 4605492

Feed of 09/15/2026

Also filed as J•••• D••••• C•••••

At current firm

1 y

since Sep 19, 2025

In the industry

23 y

since Mar 25, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

J••• M••••• S••••••••• L•• wirehouse current
since Sep 19, 2025 · Laguna Niguel, Ca
C•••••• S••••• • C••• I••• national BD
Aug 1, 2022 to Oct 18, 2025 · Newport Beach, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 17, 2019 to Jul 18, 2022 · San Francisco, Ca
M••••• O• O•••• I••••••• S•••••••• I••• independent RIA
Jan 4, 2019 to Jun 17, 2019 · Irvine, Ca
A••••• A•• P••••••• S••••••• BD affiliated
Jun 26, 2012 to Mar 2, 2018 · New York, Ny
T• A••••••••• I••••••••• M••••••••• L•• former
Dec 4, 2006 to Mar 28, 2012 · Forest Hills, Ny
T• A••••••••• I••• former
Dec 4, 2006 to Mar 28, 2012 · Forest Hills, Ny

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to J••• M••••• S••••••••• L••
left Oct 18, 2025, registered Sep 19, 2025 (-29 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••
left Jul 18, 2022, registered Aug 1, 2022 (14 days) · Wirehouse to affiliated broker-dealer or bank
M••••• O• O•••• I••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jun 17, 2019, registered Jul 17, 2019 (30 days) · Other
A••••• A•• P••••••• S••••••• to M••••• O• O•••• I••••••• S•••••••• I•••
left Mar 2, 2018, registered Jan 4, 2019 (308 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Mar 28, 2012, registered Dec 4, 2006 (-1941 days) · channel change inside one enterprise, not a move
T• A••••••••• I••••••••• M••••••••• L•• to A••••• A•• P••••••• S•••••••
left Mar 28, 2012, registered Jun 26, 2012 (90 days) · Other

Signals

J•••• D••••• C••••• left C•••••• S••••• • C••• I••• for J••• M••••• S••••••••• L•• (registered 2025-09-19)
Oct 18, 2025 · Advisor changed firm · fact
J•••• D••••• C••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for C•••••• S••••• • C••• I••• (registered 2022-08-01)
Jul 18, 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: Wirehousederived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address