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

C••••••••• J•• T••••••

E••••• J••••national BDCape Coral, Fldual registrantIAPD 4771446

Feed of 09/14/2026

Also filed as C••••••••• J T••••••

At current firm

1 y

since Feb 14, 2025

In the industry

22 y

since Jul 8, 2004 (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

E••••• J•••• national BD current
since Feb 14, 2025 · Cape Coral, Fl
C•••••• S••••• • C••• I••• national BD
Feb 8, 2022 to Jan 17, 2025 · Fort Myers, Fl
T• A••••••••• I••••••••• M••••••••• L•• former
Jun 29, 2020 to Sep 7, 2023 · Ft. Myers, Fl
T• A••••••••• I••• former
Jun 17, 2020 to Oct 14, 2022 · Ft. Myers, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 20, 2016 to May 8, 2020 · Fort Myers, Fl
O•••• A••••••• S•••••••• L•• BD affiliated
Jan 6, 2016 to Apr 5, 2016 · Rocky River, Oh
P•••••• B••••••• A•• C••••••••• former
Feb 23, 2015 to Dec 31, 2015 · Rocky River, Oh
N•• E•••••• S••••••••• C••••••••• former
Aug 20, 2010 to Sep 3, 2013 · Westlake, Oh
P•• W••••• M••••••••• BD affiliated
Nov 13, 2009 to Mar 11, 2010 · Avon, Oh
N•••••• I••••••••• I••• unclassified
Mar 11, 2009 to Nov 13, 2009 · Avon, Oh
T• A••••••••• I••••••••• M••••••••• L•• former
Sep 15, 2008 to Dec 22, 2008 · Beachwood, Oh
T• A••••••••• I••• former
Sep 15, 2008 to Dec 22, 2008 · Orange Village, Oh
M•• I•••••••• S•••••••• L•• BD affiliated
Oct 3, 2005 to Sep 9, 2008 · Leawood, Ks
E•••••••• A•••••••• L•• national BD
Jul 21, 2004 to Oct 7, 2005 · Cleveland, Oh

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to E••••• J••••
left Jan 17, 2025, registered Feb 14, 2025 (28 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Sep 7, 2023, registered Feb 8, 2022 (-576 days) · corporate re-registration, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 14, 2022, registered Jun 29, 2020 (-837 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I•••
left May 8, 2020, registered Jun 17, 2020 (40 days) · Other
O•••• A••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Apr 5, 2016, registered Jul 20, 2016 (106 days) · Other
P•••••• B••••••• A•• C••••••••• to O•••• A••••••• S•••••••• L••
left Dec 31, 2015, registered Jan 6, 2016 (6 days) · Other · moved with a team
N•• E•••••• S••••••••• C••••••••• to P•••••• B••••••• A•• C•••••••••
left Sep 3, 2013, registered Feb 23, 2015 (538 days) · Other
P•• W••••• M••••••••• to N•• E•••••• S••••••••• C•••••••••
left Mar 11, 2010, registered Aug 20, 2010 (162 days) · Other
N•••••• I••••••••• I••• to P•• W••••• M•••••••••
left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Dec 22, 2008, registered Sep 15, 2008 (-98 days) · channel change inside one enterprise, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Dec 22, 2008, registered Sep 15, 2008 (-98 days) · Other
M•• I•••••••• S•••••••• L•• to T• A••••••••• I•••
left Sep 9, 2008, registered Sep 15, 2008 (6 days) · Other
E•••••••• A•••••••• L•• to M•• I•••••••• S•••••••• L••
left Oct 7, 2005, registered Oct 3, 2005 (-4 days) · Other

Signals

C••••••••• J•• T•••••• left C•••••• S••••• • C••• I••• for E••••• J•••• (registered 2025-02-14)
Jan 17, 2025 · 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: National broker-dealer RIAderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address