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.

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Registered advisor

A••• L••

J••• M••••• S••••••••• L••wirehouseColumbus, Oh dual registrantIAPD 5084189

Feed of 09/15/2026

Also filed as A••• L••

At current firm

2 y

since Jun 24, 2024

In the industry

20 y

since Feb 24, 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

J••• M••••• S••••••••• L•• wirehouse current
since Jun 24, 2024 · Columbus, Oh
U•• F•••••••• S••••••• I••• wirehouse
Oct 8, 2018 to Jun 13, 2024 · Los Angeles, Ca
W•••• F•••• A••••••• wirehouse
Oct 2, 2015 to Sep 27, 2018 · Newport Beach, Ca
C••••• S••••• S••••••••• •••• L•• former
Mar 11, 2013 to Oct 19, 2015 · Los Angeles, Ca
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to Mar 4, 2013 · El Segundo, Ca
W•••• F•••• I••••••••• L•• unclassified
Aug 21, 2009 to Jan 3, 2011 · El Segundo, Ca
W•••• F•••• I••••••••• L•• unclassified
Feb 27, 2006 to Dec 21, 2007 · Upland, Ca

Moves

a registration end followed by a registration begin elsewhere

U•• F•••••••• S••••••• I••• to J••• M••••• S••••••••• L••
left Jun 13, 2024, registered Jun 24, 2024 (11 days) · Wirehouse to wirehouse
W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••
left Sep 27, 2018, registered Oct 8, 2018 (11 days) · Wirehouse to wirehouse
C••••• S••••• S••••••••• •••• L•• to W•••• F•••• A•••••••
left Oct 19, 2015, registered Oct 2, 2015 (-17 days) · Other
W•••• F•••• A••••••• to C••••• S••••• S••••••••• •••• L••
left Mar 4, 2013, registered Mar 11, 2013 (7 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

Signals

A••• L•• left U•• F•••••••• S••••••• I••• for J••• M••••• S••••••••• L•• (registered 2024-06-24)
Jun 13, 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: Wirehousederived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address