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•••• L•• L••••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedChester, Ca dual registrantIAPD 4799825

Feed of 09/15/2026

At current firm

3 y

since Nov 14, 2022

In the industry

22 y

since Jun 11, 2004 (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

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Nov 14, 2022 · Rocklin, Ca
W••••••• F•••••••• S•••••••• I••• former
Mar 1, 2019 to Nov 16, 2022 · Chester, Ca
Q•••••• A•••• M••••••••• I••• former
Aug 29, 2012 to Mar 1, 2019 · Minneapolis, Mn
W••••••• F•••••••• S•••••••• I••• former
Nov 16, 2010 to Aug 28, 2012 · Rocklin, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 23, 2009 to Nov 17, 2010 · North Highlands, Ca
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Jun 2, 2008 to Oct 23, 2009 · North Highlands, Ca
E••••• J•••• national BD
Jan 18, 2007 to Jun 3, 2008 · Dixon, Ca

Moves

a registration end followed by a registration begin elsewhere

W••••••• F•••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Nov 16, 2022, registered Nov 14, 2022 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
Q•••••• A•••• M••••••••• I••• to W••••••• F•••••••• S•••••••• I•••
left Mar 1, 2019, registered Mar 1, 2019 (0 days) · corporate re-registration, not a move
W••••••• F•••••••• S•••••••• I••• to Q•••••• A•••• M••••••••• I•••
left Aug 28, 2012, registered Aug 29, 2012 (1 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W••••••• F•••••••• S•••••••• I•••
left Nov 17, 2010, registered Nov 16, 2010 (-1 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
E••••• J•••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Jun 3, 2008, registered Jun 2, 2008 (-1 days) · Other

Signals

J•••• L•• L•••••• left W••••••• F•••••••• S•••••••• I••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2022-11-14)
Nov 16, 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: 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