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••• C••••••

S•• L••• W••••• A•••••••independent RIASan L••• Obispo, CaIA-onlyIAPD 4916807

Certified Financial Planner

Feed of 09/14/2026

Also filed as J••••••• L••• C••••••

At current firm

1 y

since Sep 2, 2025

In the industry

21 y

since May 19, 2005 (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

S•• L••• W••••• A••••••• independent RIA current
since Sep 2, 2025 · San L••• Obispo, Ca
C•••• P•••••• W••••• A•••••••• L•• independent RIA
Oct 16, 2020 to Oct 3, 2025 · San L••• Obispo, Ca
W•••• F•••• A••••••• wirehouse
Jan 9, 2018 to Oct 26, 2020 · San L••• Obispo, Ca
E••••• J•••• national BD
Oct 30, 2015 to Feb 17, 2016 · Colusa, Ca
C••••••••• F•••••••• N•••••• national BD
Oct 11, 2012 to Oct 26, 2015 · Yuba City, Ca
P•••••• C•••••• M••••••••• A••••••••• L•• former
Oct 13, 2008 to Jun 1, 2012 · El Granada, Ca
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Sep 11, 2006 to Jun 7, 2007 · San Francisco, Ca
R•• C•••••• M••••••• L•• national BD
May 20, 2005 to Sep 21, 2006 · San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

C•••• P•••••• W••••• A•••••••• L•• to S•• L••• W••••• A•••••••
left Oct 3, 2025, registered Sep 2, 2025 (-31 days) · RIA to RIA · moved with a team
W•••• F•••• A••••••• to C•••• P•••••• W••••• A•••••••• L••
left Oct 26, 2020, registered Oct 16, 2020 (-10 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
E••••• J•••• to W•••• F•••• A•••••••
left Feb 17, 2016, registered Jan 9, 2018 (692 days) · Affiliated broker-dealer or bank to wirehouse
C••••••••• F•••••••• N•••••• to E••••• J••••
left Oct 26, 2015, registered Oct 30, 2015 (4 days) · Affiliated broker-dealer or bank to another
P•••••• C•••••• M••••••••• A••••••••• L•• to C••••••••• F•••••••• N••••••
left Jun 1, 2012, registered Oct 11, 2012 (132 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to P•••••• C•••••• M••••••••• A••••••••• L••
left Jun 7, 2007, registered Oct 13, 2008 (494 days) · Other
R•• C•••••• M••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Sep 21, 2006, registered Sep 11, 2006 (-10 days) · Other

Signals

J••••••• L••• C•••••• left C•••• P•••••• W••••• A•••••••• L•• for S•• L••• W••••• A••••••• (registered 2025-09-02)
Oct 3, 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: Independent wealth managerderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address