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

A•• S•••••

J••• M••••• S••••••••• L••wirehouseSan Francisco, Ca dual registrantIAPD 5265763

Feed of 09/14/2026

Also filed as Amy Louise S•••••

At current firm

0 y

since Jan 29, 2026

In the industry

16 y

since Sep 15, 2010 (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 Jan 29, 2026 · Portland, Or
U••• B•••••• I••••••••• I••• former
Mar 17, 2025 to Jan 16, 2026 · Gresham, Or
U••• B•••••• A•••••••• L•• BD affiliated
Mar 17, 2025 to Jan 16, 2026 · Glendale, Ca
J••• M••••• S••••••••• L•• wirehouse
May 30, 2024 to Oct 2, 2024 · Portland, Or
J••• M••••• P•••••• W••••• A••••••• L•• former
Nov 25, 2015 to Oct 7, 2024 · Portland, Or
C••••• I••••••••• A••••••• L•• BD affiliated
Jan 21, 2014 to Nov 24, 2015 · Schaumburg, Il
C••••• I••••••••• S••••••• L•• former
Dec 18, 2012 to Jan 21, 2014 · Vancouver, Wa
M••••• S•••••• wirehouse
Sep 16, 2010 to Dec 20, 2012 · Lake Oswego, Or

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• A•••••••• L•• to J••• M••••• S••••••••• L••
left Jan 16, 2026, registered Jan 29, 2026 (13 days) · Affiliated broker-dealer or bank to wirehouse
U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••
left Jan 16, 2026, registered Mar 17, 2025 (-305 days) · Affiliated broker-dealer or bank to another
J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••
left Oct 7, 2024, registered May 30, 2024 (-130 days) · channel change inside one enterprise, not a move
J••• M••••• S••••••••• L•• to U••• B•••••• I••••••••• I•••
left Oct 2, 2024, registered Mar 17, 2025 (166 days) · Wirehouse to affiliated broker-dealer or bank
C••••• I••••••••• A••••••• L•• to J••• M••••• P•••••• W••••• A••••••• L••
left Nov 24, 2015, registered Nov 25, 2015 (1 days) · Other
C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••
left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
M••••• S•••••• to C••••• I••••••••• S••••••• L••
left Dec 20, 2012, registered Dec 18, 2012 (-2 days) · Other

Signals

A•• S••••• left U••• B•••••• A•••••••• L•• for J••• M••••• S••••••••• L•• (registered 2026-01-29)
Jan 16, 2026 · Advisor changed firm · fact
A•• S••••• left U••• B•••••• I••••••••• I••• for U••• B•••••• A•••••••• L•• (registered 2025-03-17)
Jan 16, 2026 · Advisor changed firm · fact
A•• S••••• left J••• M••••• S••••••••• L•• for U••• B•••••• I••••••••• I••• (registered 2025-03-17)
Oct 2, 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address