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••• S•••••

C••••••••• W•••••• L••independent RIASarasota, Fl IA-onlyIAPD 6389411

Feed of 09/15/2026

Also filed as J••••• J••• S•••••

At current firm

1 y

since Jan 17, 2025

In the industry

11 y

since Nov 7, 2014 (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

C••••••••• W•••••• L•• independent RIA current
since Jan 17, 2025 · Overland Park, Ks
V••••• W•••••• L•• independent RIA
Nov 4, 2020 to May 1, 2023 · Chicago, Il
A• W••••• M••••••••• L•• BD affiliated
Mar 30, 2020 to Mar 31, 2021 · Fort Myers, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 11, 2016 to Jul 13, 2018 · Sarasota, Fl
E••••• J•••• national BD
Jan 5, 2015 to Jun 23, 2016 · Sarasota, Fl

Moves

a registration end followed by a registration begin elsewhere

V••••• W•••••• L•• to C••••••••• W•••••• L••
left May 1, 2023, registered Jan 17, 2025 (627 days) · RIA to RIA
A• W••••• M••••••••• L•• to V••••• W•••••• L••
left Mar 31, 2021, registered Nov 4, 2020 (-147 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A• W••••• M••••••••• L••
left Jul 13, 2018, registered Mar 30, 2020 (626 days) · Wirehouse to independent RIA
E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jun 23, 2016, registered Aug 11, 2016 (49 days) · Affiliated broker-dealer or bank to wirehouse

Signals

J••••• J••• S••••• left V••••• W•••••• L•• for C••••••••• W•••••• L•• (registered 2025-01-17)
May 1, 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address