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

R••• C••• S•••••••

J••• M••••• S••••••••• L••wirehouseIrvine, Cadual registrantIAPD 6587816

Feed of 09/14/2026

Also filed as R••• C••• S•••••••

At current firm

0 y

since Jun 9, 2026

In the industry

10 y

since Dec 1, 2015 (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

J••• M••••• S••••••••• L•• wirehouse current
since Jun 9, 2026 · Irvine, Ca
S•••••••• A••••••• L•• national BD
Aug 11, 2025 to Jun 11, 2026 · Mission Viejo, Ca
C•••••• S••••• • C••• I••• national BD
Jan 26, 2022 to Jun 20, 2025 · Mission Viejo, Ca
T• A••••••••• I••• former
Feb 27, 2018 to Oct 14, 2022 · Newport Beach, Ca
T• A••••••••• I••••••••• M••••••••• L•• former
Feb 26, 2018 to Sep 7, 2023 · Omaha, Ne
S•••••••• I••••••••• M••••••••• former
Apr 18, 2017 to Feb 26, 2018 · Saint Louis, Mo
E••••• J•••• national BD
Feb 26, 2016 to May 5, 2017 · Aliso Viejo, Ca

Moves

a registration end followed by a registration begin elsewhere

S•••••••• A••••••• L•• to J••• M••••• S••••••••• L••
left Jun 11, 2026, registered Jun 9, 2026 (-2 days) · Affiliated broker-dealer or bank to wirehouse
C•••••• S••••• • C••• I••• to S•••••••• A••••••• L••
left Jun 20, 2025, registered Aug 11, 2025 (52 days) · Affiliated broker-dealer or bank to another · moved with a team
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Sep 7, 2023, registered Feb 27, 2018 (-2018 days) · channel change inside one enterprise, not a move · moved with a team
T• A••••••••• I••• to C•••••• S••••• • C••• I•••
left Oct 14, 2022, registered Jan 26, 2022 (-261 days) · channel change inside one enterprise, not a move · moved with a team
S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
E••••• J•••• to S•••••••• I••••••••• M•••••••••
left May 5, 2017, registered Apr 18, 2017 (-17 days) · Other

Signals

R••• C••• S••••••• left S•••••••• A••••••• L•• for J••• M••••• S••••••••• L•• (registered 2026-06-09)
Jun 11, 2026 · Advisor changed firm · fact
R••• C••• S••••••• left C•••••• S••••• • C••• I••• for S•••••••• A••••••• L•• (registered 2025-08-11)
Jun 20, 2025 · 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: Wirehousederived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address