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•••••• S•••• W••••

C••••••• P•••••••independent RIASan Francisco, Ca IA-onlyIAPD 5974865

Certified Financial Planner · Chartered Financial Analyst

Feed of 09/14/2026

At current firm

3 y

since Aug 29, 2023

In the industry

14 y

since Sep 30, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

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••••••• independent RIA current
since Aug 29, 2023 · Overland Park, Ks
K••• C•••••• P••••••• independent RIA
Dec 2, 2022 to Jul 24, 2023 · San Jose, Ca
C••••••• P••••••• independent RIA
Mar 5, 2020 to Dec 5, 2022 · San Francisco, Ca
A•••• P•••••••• L•• former
Oct 19, 2018 to Feb 26, 2020 · San Francisco, Ca
B•••••• • J••••••••• L•• former
Feb 1, 2016 to Sep 19, 2018 · Mill Valley, Ca

Moves

a registration end followed by a registration begin elsewhere

K••• C•••••• P••••••• to C••••••• P•••••••
left Jul 24, 2023, registered Aug 29, 2023 (36 days) · RIA to RIA
C••••••• P••••••• to K••• C•••••• P•••••••
left Dec 5, 2022, registered Dec 2, 2022 (-3 days) · RIA to RIA
A•••• P•••••••• L•• to C••••••• P•••••••
left Feb 26, 2020, registered Mar 5, 2020 (8 days) · RIA to RIA
B•••••• • J••••••••• L•• to A•••• P•••••••• L••
left Sep 19, 2018, registered Oct 19, 2018 (30 days) · RIA to RIA

Signals

J•••••• S•••• W•••• left K••• C•••••• P••••••• for C••••••• P••••••• (registered 2023-08-29)
Jul 24, 2023 · Advisor changed firm · fact
J•••••• S•••• W•••• left C••••••• P••••••• for K••• C•••••• P••••••• (registered 2022-12-02)
Dec 5, 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: Independent wealth managerderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address