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

B•••• R••• C••••

J••• M••••• S••••••••• L••wirehouseWalnut Creek, Cadual registrantIAPD 5530017

Feed of 09/14/2026

Also filed as B•••• R••• C••••

At current firm

0 y

since Nov 13, 2025

In the industry

18 y

since Apr 1, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65, 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 Nov 13, 2025 · Walnut Creek, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Mar 7, 2022 to Nov 19, 2025 · San Francisco, Ca
W•••• F•••• A••••••• wirehouse
Feb 27, 2019 to Feb 15, 2022 · St. Louis, Mo
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to Apr 26, 2012 · San Francisco, Ca
W•••• F•••• I••••••••• L•• unclassified
Jun 23, 2008 to Jan 3, 2011 · San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

C•••••••• G••••• M•••••• I••• to J••• M••••• S••••••••• L••
left Nov 19, 2025, registered Nov 13, 2025 (-6 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••
left Feb 15, 2022, registered Mar 7, 2022 (20 days) · Wirehouse to affiliated broker-dealer or bank
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move

Signals

B•••• R••• C•••• left C•••••••• G••••• M•••••• I••• for J••• M••••• S••••••••• L•• (registered 2025-11-13)
Nov 19, 2025 · Advisor changed firm · fact
B•••• R••• C•••• left W•••• F•••• A••••••• for C•••••••• G••••• M•••••• I••• (registered 2022-03-07)
Feb 15, 2022 · 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address