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••••• D••••• I••

L•• F•••••••• L••BD affiliatedGarland, Txdual registrantIAPD 5569368

Feed of 09/14/2026

Also filed as Jim D•••••

At current firm

1 y

since May 15, 2025

In the industry

16 y

since Dec 12, 2009 (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 May 15, 2025 · Garland, Tx
C••• F•••••••• S•••••••• L••• former
Oct 19, 2023 to May 15, 2025 · Pasadena, Ca
C••••• I••••••••• A••••••• L•• BD affiliated
Feb 5, 2019 to Nov 4, 2021 · Fort S••••, Ar
T• A••••••••• I••• former
Feb 27, 2018 to Feb 4, 2019 · Rogers, Ar
T• A••••••••• I••••••••• M••••••••• L•• former
Feb 26, 2018 to Feb 4, 2019 · Omaha, Ne
S•••••••• I••••••••• M••••••••• former
Jan 25, 2017 to Feb 26, 2018 · Saint Louis, Mo
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 14, 2009 to Feb 16, 2016 · Fort S••••, Ar

Moves

a registration end followed by a registration begin elsewhere

C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••
left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
C••••• I••••••••• A••••••• L•• to C••• F•••••••• S•••••••• L•••
left Nov 4, 2021, registered Oct 19, 2023 (714 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Feb 4, 2019, registered Feb 27, 2018 (-342 days) · channel change inside one enterprise, not a move
T• A••••••••• I••• to C••••• I••••••••• A••••••• L••
left Feb 4, 2019, registered Feb 5, 2019 (1 days) · Other
S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• I••••••••• M•••••••••
left Feb 16, 2016, registered Jan 25, 2017 (344 days) · Other

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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address