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•••• R••••• J••••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedBentonville, Ar dual registrantIAPD 5442369

Feed of 09/15/2026

Also filed as J•••• J••••••

At current firm

5 y

since May 24, 2021

In the industry

18 y

since Feb 22, 2008 (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•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since May 24, 2021 · Bentonville, Ar
C•••••• S••••• • C••• I••• national BD
Jan 31, 2017 to Mar 17, 2021 · Phoenix, Az
E••••• J•••• national BD
Oct 21, 2014 to Jan 11, 2017 · Tempe, Az
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 19, 2014 to Sep 23, 2014 · Chandler, Az
U••• F•••••••• P••••••• S••••••• former
Apr 9, 2013 to Apr 30, 2014 · Phoenix, Az
U••• I••••••••• S••••••• C•••••• no RAUM
Sep 28, 2011 to Apr 9, 2013 · Phoenix, Az
C•••••• S••••• • C••• I••• national BD
Apr 27, 2011 to Sep 13, 2011 · Phoenix, Az
U••• F•••••••• P••••••• S••••••• former
Dec 11, 2008 to May 18, 2010 · Phoenix, Az
U••• I••••••••• S••••••• C•••••• no RAUM
Mar 27, 2008 to Dec 31, 2008 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Mar 17, 2021, registered May 24, 2021 (68 days) · Affiliated broker-dealer or bank to another
E••••• J•••• to C•••••• S••••• • C••• I•••
left Jan 11, 2017, registered Jan 31, 2017 (20 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••
left Sep 23, 2014, registered Oct 21, 2014 (28 days) · Wirehouse to affiliated broker-dealer or bank
U••• F•••••••• P••••••• S••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Apr 30, 2014, registered May 19, 2014 (19 days) · Other
U••• I••••••••• S••••••• C•••••• to U••• F•••••••• P••••••• S•••••••
left Apr 9, 2013, registered Apr 9, 2013 (0 days) · corporate re-registration, not a move
C•••••• S••••• • C••• I••• to U••• I••••••••• S••••••• C••••••
left Sep 13, 2011, registered Sep 28, 2011 (15 days) · Other
U••• F•••••••• P••••••• S••••••• to C•••••• S••••• • C••• I•••
left May 18, 2010, registered Apr 27, 2011 (344 days) · Other
U••• I••••••••• S••••••• C•••••• to U••• F•••••••• P••••••• S•••••••
left Dec 31, 2008, registered Dec 11, 2008 (-20 days) · corporate re-registration, not a move

Signals

No dated event on this person.

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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address