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••••• N•••••

W•••• F•••• A•••••••wirehouseSan Jose, Ca dual registrantIAPD 5040570

Feed of 09/15/2026

Also filed as J••••• Thanh N•••••

At current firm

1 y

since Apr 23, 2025

In the industry

20 y

since Mar 21, 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

W•••• F•••• A••••••• wirehouse current
since Apr 23, 2025 · Campbell, Ca
S•••••••• A••••••• L•• national BD
Mar 31, 2025 to Apr 7, 2025 · Boston, Ma
F••••••• P••••••• A•• W•••••••• A••••••• former
Nov 21, 2023 to Mar 31, 2025 · Campbell, Ca
M••••• S•••••• wirehouse
Sep 5, 2023 to Oct 20, 2023 · Cupertino, Ca
E•••••• C•••••• M••••••••• L•• former
Dec 10, 2015 to Sep 5, 2023 · Cupertino, Ca
S•••••••• A••••••• L•• national BD
Apr 2, 2015 to Jan 6, 2016 · Campbell, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Aug 1, 2012 to Jul 17, 2013 · Los Gatos, Ca
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to Jul 17, 2012 · Walnut Creek, Ca
W•••• F•••• I••••••••• L•• unclassified
Aug 14, 2008 to Jan 3, 2011 · Fremont, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 30, 2007 to Jun 24, 2008 · San Jose, Ca
W•••• F•••• I••••••••• L•• unclassified
Mar 22, 2006 to Nov 13, 2007 · Union City, Ca

Moves

a registration end followed by a registration begin elsewhere

S•••••••• A••••••• L•• to W•••• F•••• A•••••••
left Apr 7, 2025, registered Apr 23, 2025 (16 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
M••••• S•••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Oct 20, 2023, registered Nov 21, 2023 (32 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
E•••••• C•••••• M••••••••• L•• to M••••• S••••••
left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
S•••••••• A••••••• L•• to E•••••• C•••••• M••••••••• L••
left Jan 6, 2016, registered Dec 10, 2015 (-27 days) · Other
C•••••••• G••••• M•••••• I••• to S•••••••• A••••••• L••
left Jul 17, 2013, registered Apr 2, 2015 (624 days) · Other
W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••
left Jul 17, 2012, registered Aug 1, 2012 (15 days) · Other
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• I••••••••• L••
left Jun 24, 2008, registered Aug 14, 2008 (51 days) · Other
W•••• F•••• I••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Nov 13, 2007, registered Nov 30, 2007 (17 days) · Other

Signals

J••••• N••••• left S•••••••• A••••••• L•• for W•••• F•••• A••••••• (registered 2025-04-23)
Apr 7, 2025 · Advisor changed firm · fact
J••••• N••••• left M••••• S•••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-11-21)
Oct 20, 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: Wirehousederived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address