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••• D•••••• J••••

C••••• F••••••••independent RIADes Peres, Mo dual registrantIAPD 5408754

Feed of 09/15/2026

Also filed as Doug J••••

At current firm

2 y

since Sep 28, 2023

In the industry

18 y

since Dec 7, 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

C••••• F•••••••• independent RIA current
since Sep 28, 2023 · Des Peres, Mo
E••••• J•••• national BD
Dec 2, 2016 to Sep 29, 2023 · St Louis, Mo
S•••••• N••••••• • C••••••• I••••••••• national BD
May 30, 2014 to Dec 2, 2016 · St. Louis, Mo
R•••••• J•••• • A••••••••• I••• national BD
Feb 13, 2013 to Nov 13, 2013 · Memphis, Tn
M••••• K••••• • C••••••• L•• former
Dec 19, 2007 to Feb 13, 2013 · Memphis, Tn

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to C••••• F••••••••
left Sep 29, 2023, registered Sep 28, 2023 (-1 days) · Affiliated broker-dealer or bank to independent RIA
S•••••• N••••••• • C••••••• I••••••••• to E••••• J••••
left Dec 2, 2016, registered Dec 2, 2016 (0 days) · Affiliated broker-dealer or bank to another
R•••••• J•••• • A••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
left Nov 13, 2013, registered May 30, 2014 (198 days) · Affiliated broker-dealer or bank to another
M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••
left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move

Signals

J••• D•••••• J•••• left E••••• J•••• for C••••• F•••••••• (registered 2023-09-28)
Sep 29, 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: Independent wealth managerderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address