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

I••• J•••• J••••

L•• E••••••••• L••BD affiliatedSan Diego, Cadual registrantIAPD 6232899

Feed of 09/14/2026

Also filed as I••• J•••• J••••

At current firm

1 y

since Nov 14, 2024

In the industry

13 y

since Jul 1, 2013 (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

L•• E••••••••• L•• BD affiliated current
since Nov 14, 2024 · San Diego, Ca
P•••• S••••••••• L•• no RAUM
Jan 12, 2023 to Nov 14, 2024 · Irvine, Ca
P••• A••••• S••••••••• L•• BD affiliated
Dec 2, 2022 to Jan 20, 2023 · Greenwood Village, Co
O••••••••• S••••••••• I••• BD affiliated
Dec 14, 2020 to Dec 15, 2022 · Greenwood Village, Co

Moves

a registration end followed by a registration begin elsewhere

P•••• S••••••••• L•• to L•• E••••••••• L••
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
P••• A••••• S••••••••• L•• to P•••• S••••••••• L••
left Jan 20, 2023, registered Jan 12, 2023 (-8 days) · Affiliated broker-dealer or bank to another
O••••••••• S••••••••• I••• to P••• A••••• S••••••••• L••
left Dec 15, 2022, registered Dec 2, 2022 (-13 days) · Affiliated broker-dealer or bank to another

Signals

I••• J•••• J•••• left P••• A••••• S••••••••• L•• for P•••• S••••••••• L•• (registered 2023-01-12)
Jan 20, 2023 · Advisor changed firm · fact
I••• J•••• J•••• left O••••••••• S••••••••• I••• for P••• A••••• S••••••••• L•• (registered 2022-12-02)
Dec 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: Broker-dealer affiliated wealth managerderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address