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••• J••••• F••••

L•• F•••••••• L••BD affiliatedScottsdale, Az dual registrantIAPD 5270240

Feed of 09/15/2026

Also filed as John Joseph Foltz

At current firm

3 y

since Jun 13, 2023

In the industry

19 y

since Feb 9, 2007 (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

L•• F•••••••• L•• BD affiliated current
since Jun 13, 2023 · Scottsdale, Az
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Dec 15, 2022 to May 23, 2023 · Scottsdale, Az
C••••••• • C••• I••• former
Feb 12, 2020 to Apr 3, 2023 · Scottsdale, Az
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 29, 2016 to Aug 15, 2018 · Scottsdale, Az
M••••• S•••••• wirehouse
Aug 30, 2010 to May 13, 2016 · Scottsdale, Az

Moves

a registration end followed by a registration begin elsewhere

C•••••••• I••••••••• R••••••• A•••••••• I••• to L•• F•••••••• L••
left May 23, 2023, registered Jun 13, 2023 (21 days) · Affiliated broker-dealer or bank to another
C••••••• • C••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Apr 3, 2023, registered Dec 15, 2022 (-109 days) · Affiliated broker-dealer or bank to another · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• • C••• I•••
left Aug 15, 2018, registered Feb 12, 2020 (546 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left May 13, 2016, registered Apr 29, 2016 (-14 days) · Wirehouse to wirehouse

Signals

John Joseph Foltz left Cambridge Investment Research Advisors, Inc. for Lpl Financial Llc (registered 2023-06-13)
May 23, 2023 · Advisor changed firm · fact
John Joseph Foltz left Cantella & Co., Inc. for Cambridge Investment Research Advisors, Inc. (registered 2022-12-15)
Apr 3, 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address