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••••• T••••• B•••••

A••••• A•• P••••••• S•••••••BD affiliatedPhoenix, Azdual registrantIAPD 4924401

Feed of 09/14/2026

Also filed as J••••• T••••• B•••••

At current firm

2 y

since Mar 20, 2024

In the industry

18 y

since Mar 26, 2008 (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

A••••• A•• P••••••• S••••••• BD affiliated current
since Mar 20, 2024 · Phoenix, Az
E•••••• F•••••••• E•••••• independent RIA
Jan 10, 2022 to Aug 14, 2023 · Virginia Beach, Va
B••••••• I••••••••• S•••••••• I••• ••••• former
Aug 17, 2018 to Dec 16, 2021 · Tempe, Az
B••••••• I••••••••• S•••••••• I••• ••••• former
Jun 12, 2017 to Oct 4, 2017 · Sacramento, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 3, 2017 to May 12, 2017 · Scottsdale, Az
C•••••• S••••• • C••• I••• national BD
Apr 9, 2013 to Nov 17, 2016 · Folsom, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 8, 2011 to Feb 22, 2013 · Carmichael, Ca
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to Aug 22, 2011 · Elk Grove, Ca
W•••• F•••• I••••••••• L•• unclassified
Mar 20, 2009 to Jan 3, 2011 · Sacramento, Ca

Moves

a registration end followed by a registration begin elsewhere

E•••••• F•••••••• E•••••• to A••••• A•• P••••••• S•••••••
left Aug 14, 2023, registered Mar 20, 2024 (219 days) · RIA to affiliated broker-dealer or bank
B••••••• I••••••••• S•••••••• I••• ••••• to E•••••• F•••••••• E••••••
left Dec 16, 2021, registered Jan 10, 2022 (25 days) · Affiliated broker-dealer or bank to independent RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••••••• I••••••••• S•••••••• I••• •••••
left May 12, 2017, registered Jun 12, 2017 (31 days) · Other
C•••••• S••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Nov 17, 2016, registered Apr 3, 2017 (137 days) · Affiliated broker-dealer or bank to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••
left Feb 22, 2013, registered Apr 9, 2013 (46 days) · Wirehouse to affiliated broker-dealer or bank
W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 22, 2011, registered Sep 8, 2011 (17 days) · Wirehouse to wirehouse
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move

Signals

J••••• T••••• B••••• left E•••••• F•••••••• E•••••• for A••••• A•• P••••••• S••••••• (registered 2024-03-20)
Aug 14, 2023 · 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address