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•••••

L•••independent RIALos Gatos, Ca IA-onlyIAPD 6181975

Certified Financial Planner · Chartered Financial Analyst

Feed of 09/14/2026

Also filed as J••••• F•••••

At current firm

1 y

since Sep 25, 2024

In the industry

13 y

since Apr 1, 2013 (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••• independent RIA current
since Sep 25, 2024 · Los Gatos, Ca
P••••••• A••••••• L•• former
Nov 28, 2023 to Aug 1, 2024 · San Francisco, Ca
M••••• S•••••• wirehouse
Oct 12, 2020 to Oct 20, 2023 · San Jose, Ca
A••••••••• I••• BD affiliated
Aug 29, 2018 to May 20, 2019 · Concord, Ca
L•• F•••••••• I••• former
Jul 30, 2014 to May 2, 2018 · San Jose, Ca

Moves

a registration end followed by a registration begin elsewhere

P••••••• A••••••• L•• to L•••
left Aug 1, 2024, registered Sep 25, 2024 (55 days) · RIA to RIA
M••••• S•••••• to P••••••• A••••••• L••
left Oct 20, 2023, registered Nov 28, 2023 (39 days) · Wirehouse to independent RIA
A••••••••• I••• to M••••• S••••••
left May 20, 2019, registered Oct 12, 2020 (511 days) · Affiliated broker-dealer or bank to wirehouse
L•• F•••••••• I••• to A••••••••• I•••
left May 2, 2018, registered Aug 29, 2018 (119 days) · Affiliated broker-dealer or bank to another

Signals

J••••• F••••• left P••••••• A••••••• L•• for Lido (registered 2024-09-25)
Aug 1, 2024 · Advisor changed firm · fact
J••••• F••••• left M••••• S•••••• for P••••••• A••••••• L•• (registered 2023-11-28)
Oct 20, 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: Independent wealth managerderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address