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

N•••••••• J••••• S•••••

R•••••• M••••state registeredSan Jose, Ca IA-onlyIAPD 6525698

Certified Financial Planner

Feed of 09/15/2026

Also filed as N•••••••• J••••• S•••••

At current firm

0 y

since Jul 22, 2026

In the industry

12 y

since Jun 1, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•••••• M•••• state registered current
since Jul 22, 2026 · Sunnyvale, Ca
S•••••••• A••••••• L•• national BD
Mar 31, 2025 to Jun 18, 2026 · Sunnyvale, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
Sep 27, 2023 to Mar 31, 2025 · Mountain View, Ca
M••••• S•••••• wirehouse
Nov 7, 2022 to Sep 1, 2023 · Claremont, Ca
W•••• F•••• A••••••• wirehouse
Apr 19, 2017 to May 23, 2022 · Pasadena, Ca

Moves

a registration end followed by a registration begin elsewhere

S•••••••• A••••••• L•• to R•••••• M••••
left Jun 18, 2026, registered Jul 22, 2026 (34 days) · Affiliated broker-dealer or bank to a state-registered adviser
F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
M••••• S•••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Sep 1, 2023, registered Sep 27, 2023 (26 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
W•••• F•••• A••••••• to M••••• S••••••
left May 23, 2022, registered Nov 7, 2022 (168 days) · Wirehouse to wirehouse · moved with a team

Signals

N•••••••• J••••• S••••• left S•••••••• A••••••• L•• for R•••••• M•••• (registered 2026-07-22)
Jun 18, 2026 · Advisor changed firm · fact
N•••••••• J••••• S••••• left M••••• S•••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-09-27)
Sep 1, 2023 · Advisor changed firm · fact
N•••••••• J••••• S••••• left W•••• F•••• A••••••• for M••••• S•••••• (registered 2022-11-07)
May 23, 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: STATE REGISTEREDderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address