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••••• Q••••••

O•••• I••••••••• I•••BD affiliatedSanford, Ncdual registrantIAPD 5142600

Feed of 09/14/2026

Also filed as J••• T Q••••••

At current firm

2 y

since Nov 21, 2023

In the industry

21 y

since Jun 1, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O•••• I••••••••• I••• BD affiliated current
since Nov 21, 2023 · Sanford, Nc
F•••• C••••••• I••••••• S•••••••• I••• BD affiliated
Oct 23, 2019 to Nov 27, 2023 · Sanford, Nc
W•••• F•••• A••••••• wirehouse
Nov 30, 2018 to Oct 24, 2019 · Wilmington, Nc
O•••• I••••••••• I••• BD affiliated
Apr 2, 2014 to Dec 1, 2018 · Sanford, Nc
W•••• F•••• A••••••• wirehouse
Mar 21, 2014 to Mar 31, 2014 · Raleigh, Nc
O•••• I••••••••• I••• BD affiliated
Feb 19, 2013 to Mar 21, 2014 · Sanford, Nc
L•• F•••••••• L•• BD affiliated
Dec 10, 2010 to Feb 20, 2013 · Spring Lake, Nc
E••••• J•••• national BD
Jul 1, 2008 to Dec 13, 2010 · St Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

F•••• C••••••• I••••••• S•••••••• I••• to O•••• I••••••••• I•••
left Nov 27, 2023, registered Nov 21, 2023 (-6 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to F•••• C••••••• I••••••• S•••••••• I•••
left Oct 24, 2019, registered Oct 23, 2019 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
O•••• I••••••••• I••• to W•••• F•••• A•••••••
left Dec 1, 2018, registered Nov 30, 2018 (-1 days) · Affiliated broker-dealer or bank to wirehouse
W•••• F•••• A••••••• to O•••• I••••••••• I•••
left Mar 31, 2014, registered Apr 2, 2014 (2 days) · Other
O•••• I••••••••• I••• to W•••• F•••• A•••••••
left Mar 21, 2014, registered Mar 21, 2014 (0 days) · Other
L•• F•••••••• L•• to O•••• I••••••••• I•••
left Feb 20, 2013, registered Feb 19, 2013 (-1 days) · Other
E••••• J•••• to L•• F•••••••• L••
left Dec 13, 2010, registered Dec 10, 2010 (-3 days) · Other

Signals

J••• T••••• Q•••••• left F•••• C••••••• I••••••• S•••••••• I••• for O•••• I••••••••• I••• (registered 2023-11-21)
Nov 27, 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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address