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•••• P•••••

S••••••••• W•••••mixed wealthSummit, Nj IA-onlyIAPD 6541734

Certified Financial Planner

Feed of 09/15/2026

At current firm

0 y

since Mar 18, 2026

In the industry

12 y

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

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S••••••••• W••••• mixed wealth current
since Mar 18, 2026 · Summit, Nj
A• W••••• M••••••••• L•• BD affiliated
Mar 20, 2025 to Mar 28, 2025 · Rancho Cucamonga, Ca
S••••• I••••••••• M••••••••• L•• independent RIA
Apr 9, 2024 to Mar 5, 2025 · Oak Hills, Ca
P•••• S••••••••• L•• no RAUM
Feb 28, 2019 to Apr 10, 2024 · San Diego, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 12, 2017 to Nov 20, 2018 · Ontario, Ca
O••••••••• S••••••••• I••• BD affiliated
Oct 6, 2016 to Apr 19, 2017 · Corona, Ca

Moves

a registration end followed by a registration begin elsewhere

A• W••••• M••••••••• L•• to S••••••••• W•••••
left Mar 28, 2025, registered Mar 18, 2026 (355 days) · RIA to RIA
S••••• I••••••••• M••••••••• L•• to A• W••••• M••••••••• L••
left Mar 5, 2025, registered Mar 20, 2025 (15 days) · RIA to RIA
P•••• S••••••••• L•• to S••••• I••••••••• M••••••••• L••
left Apr 10, 2024, registered Apr 9, 2024 (-1 days) · Affiliated broker-dealer or bank to independent RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••• S••••••••• L••
left Nov 20, 2018, registered Feb 28, 2019 (100 days) · Wirehouse to affiliated broker-dealer or bank
O••••••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Apr 19, 2017, registered Jun 12, 2017 (54 days) · Other

Signals

J•••• P••••• left A• W••••• M••••••••• L•• for S••••••••• W••••• (registered 2026-03-18)
Mar 28, 2025 · Advisor changed firm · fact
J•••• P••••• left S••••• I••••••••• M••••••••• L•• for A• W••••• M••••••••• L•• (registered 2025-03-20)
Mar 5, 2025 · Advisor changed firm · fact
J•••• P••••• left P•••• S••••••••• L•• for S••••• I••••••••• M••••••••• L•• (registered 2024-04-09)
Apr 10, 2024 · 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: Wealth manager with institutional or fund businessderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address