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

S•••••• J•••• J••••••

I•••••••• A•••••••• L••BD affiliatedAustin, Tx dual registrantIAPD 6587622

Feed of 09/14/2026

At current firm

0 y

since Nov 11, 2025

In the industry

12 y

since Sep 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

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

I•••••••• A•••••••• L•• BD affiliated current
since Nov 11, 2025 · Austin, Tx
L••• S••••• A•••••••• L•• former
Jul 26, 2023 to Nov 3, 2025 · Leominster, Ma
T•• A•••••••• I••• BD affiliated
Mar 31, 2022 to Jul 28, 2023 · Leominster, Ma
O•••• F•• I••• former
Nov 7, 2017 to Jan 26, 2022 · Leominster, Ma
O•••• F•• I••• former
Feb 23, 2016 to Aug 11, 2017 · Leominster, Ma

Moves

a registration end followed by a registration begin elsewhere

L••• S••••• A•••••••• L•• to I•••••••• A•••••••• L••
left Nov 3, 2025, registered Nov 11, 2025 (8 days) · corporate re-registration, not a move
T•• A•••••••• I••• to L••• S••••• A•••••••• L••
left Jul 28, 2023, registered Jul 26, 2023 (-2 days) · Affiliated broker-dealer or bank to another
O•••• F•• I••• to T•• A•••••••• I•••
left Jan 26, 2022, registered Mar 31, 2022 (64 days) · Affiliated broker-dealer or bank to another

Signals

S•••••• J•••• J•••••• left T•• A•••••••• I••• for L••• S••••• A•••••••• L•• (registered 2023-07-26)
Jul 28, 2023 · Advisor changed firm · fact
S•••••• J•••• J•••••• left O•••• F•• I••• for T•• A•••••••• I••• (registered 2022-03-31)
Jan 26, 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address