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• S•••••••

A•••••• W••••• M•••••••••state registeredLynchburg, VaIA-onlyIAPD 4832559

Feed of 09/14/2026

Also filed as J•••• L S•••••••

At current firm

3 y

since Aug 8, 2023

In the industry

21 y

since Jun 10, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A•••••• W••••• M••••••••• state registered current
since Aug 8, 2023 · Lynchburg, Va
S•••••••• W••••• M••••••••• I••• independent RIA
Mar 22, 2022 to Sep 7, 2023 · Lynchburg, Va
A••••••••• F•••••••• S•••••••• L•• national BD
May 9, 2014 to Mar 18, 2022 · Forest, Va
B••• I••••••••• S•••••••• I••• former
Mar 8, 2011 to May 9, 2014 · Collinsville, Va
A••••••••• F•••••••• S•••••••• L•• national BD
Jul 21, 2005 to Nov 20, 2007 · Forest, Va

Moves

a registration end followed by a registration begin elsewhere

S•••••••• W••••• M••••••••• I••• to A•••••• W••••• M•••••••••
left Sep 7, 2023, registered Aug 8, 2023 (-30 days) · RIA to a state-registered adviser
A••••••••• F•••••••• S•••••••• L•• to S•••••••• W••••• M••••••••• I•••
left Mar 18, 2022, registered Mar 22, 2022 (4 days) · Affiliated broker-dealer or bank to independent RIA
B••• I••••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left May 9, 2014, registered May 9, 2014 (0 days) · Other
A••••••••• F•••••••• S•••••••• L•• to B••• I••••••••• S•••••••• I•••
left Nov 20, 2007, registered Mar 8, 2011 (1204 days) · Affiliated broker-dealer or bank to a newly registered adviser

Signals

J•••• L• S••••••• left S•••••••• W••••• M••••••••• I••• for A•••••• W••••• M••••••••• (registered 2023-08-08)
Sep 7, 2023 · Advisor changed firm · fact
J•••• L• S••••••• left A••••••••• F•••••••• S•••••••• L•• for S•••••••• W••••• M••••••••• I••• (registered 2022-03-22)
Mar 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: STATE REGISTEREDderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address