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•••

E•••••• F•••••••• E••••••independent RIAPhoenix, AzIA-onlyIAPD 5025369

Feed of 09/14/2026

Also filed as J•••• C•••

At current firm

1 y

since Dec 11, 2024

In the industry

20 y

since Mar 6, 2006 (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

E•••••• F•••••••• E•••••• independent RIA current
since Dec 11, 2024 · Phoenix, Az
V••••••• A•••••••• I••• BD affiliated
Nov 8, 2021 to Jul 18, 2024 · Scottsdale, Az
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 16, 2013 to Apr 10, 2014 · Chandler, Az
U••• F•••••••• P••••••• S••••••• former
Mar 11, 2008 to Jul 3, 2013 · Phoenix, Az
L•• F•••••••• L•• BD affiliated
Oct 9, 2007 to Jan 31, 2008 · Phoenix, Az
U•••• F•••••••• S••••••• G••••• I••• unclassified
Mar 21, 2007 to Oct 9, 2007 · Phoenix, Az
E•••••••• A•••••••• L•• national BD
Mar 6, 2006 to Mar 6, 2007 · Scottsdale, Az

Moves

a registration end followed by a registration begin elsewhere

V••••••• A•••••••• I••• to E•••••• F•••••••• E••••••
left Jul 18, 2024, registered Dec 11, 2024 (146 days) · Affiliated broker-dealer or bank to independent RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V••••••• A•••••••• I•••
left Apr 10, 2014, registered Nov 8, 2021 (2769 days) · Wirehouse to affiliated broker-dealer or bank
U••• F•••••••• P••••••• S••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jul 3, 2013, registered Aug 16, 2013 (44 days) · Other
L•• F•••••••• L•• to U••• F•••••••• P••••••• S•••••••
left Jan 31, 2008, registered Mar 11, 2008 (40 days) · Other
U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••
left Oct 9, 2007, registered Oct 9, 2007 (0 days) · Other
E•••••••• A•••••••• L•• to U•••• F•••••••• S••••••• G••••• I•••
left Mar 6, 2007, registered Mar 21, 2007 (15 days) · Other

Signals

J•••• L•• C••• left V••••••• A•••••••• I••• for E•••••• F•••••••• E•••••• (registered 2024-12-11)
Jul 18, 2024 · 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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address