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••• F•••••• M••••••

C••• P•••••• W••••• A•••••••• I•••BD affiliatedSan Francisco, Cadual registrantIAPD 5526611

Feed of 09/14/2026

At current firm

3 y

since Aug 18, 2023

In the industry

18 y

since Jul 18, 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••• P•••••• W••••• A•••••••• I••• BD affiliated current
since Aug 18, 2023 · San Francisco, Ca
E••••••••• F•••••••• G•••• independent RIA
Sep 27, 2013 to Aug 7, 2023 · San F••••••Co, Ca
O• I••••••••• M••••••••• C• BD affiliated
Aug 6, 2013 to May 24, 2023 · San F••••••Co, Ca
M••••• S•••••• wirehouse
Jun 1, 2009 to Aug 27, 2013 · San Francisco, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Jul 21, 2008 to Jun 1, 2009 · San F••••••Co, Ca

Moves

a registration end followed by a registration begin elsewhere

E••••••••• F•••••••• G•••• to C••• P•••••• W••••• A•••••••• I•••
left Aug 7, 2023, registered Aug 18, 2023 (11 days) · RIA to affiliated broker-dealer or bank
O• I••••••••• M••••••••• C• to E••••••••• F•••••••• G••••
left May 24, 2023, registered Sep 27, 2013 (-3526 days) · Affiliated broker-dealer or bank to independent RIA
M••••• S•••••• to O• I••••••••• M••••••••• C•
left Aug 27, 2013, registered Aug 6, 2013 (-21 days) · Other
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

Signals

J••• F•••••• M•••••• left E••••••••• F•••••••• G•••• for C••• P•••••• W••••• A•••••••• I••• (registered 2023-08-18)
Aug 7, 2023 · Advisor changed firm · fact
J••• F•••••• M•••••• left O• I••••••••• M••••••••• C• for E••••••••• F•••••••• G•••• (registered 2013-09-27)
May 24, 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address