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•••••• Y• J•••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedPalo Alto, Ca dual registrantIAPD 4922155

Certified Financial Planner

Feed of 09/15/2026

Also filed as J•••••• J•••

At current firm

1 y

since Jun 3, 2025

In the industry

21 y

since Jul 14, 2005 (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

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Jun 3, 2025 · Brentwood, Tn
A•••• C•••••• C•••• BD affiliated
Apr 20, 2021 to Jul 3, 2025 · Brentwood, Tn
L•• F•••••••• L•• BD affiliated
Nov 10, 2010 to Apr 21, 2021 · Nashville, Tn
M••••• K••••• • C••••••• L•• former
Feb 13, 2007 to Sep 14, 2010 · Nashville, Tn
A•••••• I••••••••• M••••••••• C•••••• L•• unclassified
Jan 11, 2006 to Feb 13, 2007 · Memphis, Tn
M••••• S•••••• D• I••• unclassified
Jul 18, 2005 to Jan 4, 2006 · Nashville, Tn

Moves

a registration end followed by a registration begin elsewhere

A•••• C•••••• C•••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Jul 3, 2025, registered Jun 3, 2025 (-30 days) · Affiliated broker-dealer or bank to another
L•• F•••••••• L•• to A•••• C•••••• C••••
left Apr 21, 2021, registered Apr 20, 2021 (-1 days) · Affiliated broker-dealer or bank to another
M••••• K••••• • C••••••• L•• to L•• F•••••••• L••
left Sep 14, 2010, registered Nov 10, 2010 (57 days) · Other
A•••••• I••••••••• M••••••••• C•••••• L•• to M••••• K••••• • C••••••• L••
left Feb 13, 2007, registered Feb 13, 2007 (0 days) · corporate re-registration, not a move
M••••• S•••••• D• I••• to A•••••• I••••••••• M••••••••• C•••••• L••
left Jan 4, 2006, registered Jan 11, 2006 (7 days) · Other

Signals

J•••••• Y• J••• left A•••• C•••••• C•••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-06-03)
Jul 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: Broker-dealer affiliated wealth managerderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address