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.
Registered advisor
Jonathan Daniel Wakin
Feed of 09/14/2026
Also filed as J Daniel Wakin
At current firm
0 y
since Jan 14, 2026
In the industry
11 y
since Nov 20, 2014 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Principal Securities, Inc. BD affiliated currentsince Jan 14, 2026 · Raleigh, Nc
- First Citizens Investor Services, Inc. BD affiliatedOct 14, 2021 to Jan 20, 2026 · Raleigh, Nc
- Park Avenue Securities LLC BD affiliatedDec 3, 2019 to Mar 16, 2021 · Raleigh, Nc
- Edward Jones national BDJul 14, 2017 to Oct 2, 2019 · Raleigh, Nc
- Capital Investment Advisory Services, LLC BD affiliatedOct 3, 2015 to Apr 3, 2017 · Raleigh, Nc
Moves
a registration end followed by a registration begin elsewhere
- First Citizens Investor Services, Inc. to Principal Securities, Inc.left Jan 20, 2026, registered Jan 14, 2026 (-6 days) · Affiliated broker-dealer or bank to another
- Park Avenue Securities LLC to First Citizens Investor Services, Inc.left Mar 16, 2021, registered Oct 14, 2021 (212 days) · Affiliated broker-dealer or bank to another
- Edward Jones to Park Avenue Securities LLCleft Oct 2, 2019, registered Dec 3, 2019 (62 days) · Affiliated broker-dealer or bank to another
- Capital Investment Advisory Services, LLC to Edward Jonesleft Apr 3, 2017, registered Jul 14, 2017 (102 days) · Other
Signals
- Jonathan Daniel Wakin left First Citizens Investor Services, Inc. for Principal Securities, Inc. (registered 2026-01-14)Jan 20, 2026 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address