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••••••• R• D•••

L•• F•••••••• L••BD affiliatedFort Mill, Sc dual registrantIAPD 6589522

Certified Financial Planner

Feed of 09/15/2026

Also filed as Jon D•••

At current firm

2 y

since Nov 17, 2023

In the industry

11 y

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

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Nov 17, 2023 · Fort Mill, Sc
C•••••• F••••• O•••••• I••• independent RIA
Nov 14, 2022 to Sep 21, 2023 · Stallings, Nc
S•••• W•••••• L•• independent RIA
Aug 1, 2022 to Sep 23, 2022 · New York, Ny
M••••• S•••••• wirehouse
Sep 28, 2021 to Jul 21, 2022 · Charlotte, Nc
U•• F•••••••• S••••••• I••• wirehouse
Aug 1, 2017 to Sep 16, 2021 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

C•••••• F••••• O•••••• I••• to L•• F•••••••• L••
left Sep 21, 2023, registered Nov 17, 2023 (57 days) · RIA to affiliated broker-dealer or bank
S•••• W•••••• L•• to C•••••• F••••• O•••••• I•••
left Sep 23, 2022, registered Nov 14, 2022 (52 days) · RIA to RIA
M••••• S•••••• to S•••• W•••••• L••
left Jul 21, 2022, registered Aug 1, 2022 (11 days) · Wirehouse to independent RIA
U•• F•••••••• S••••••• I••• to M••••• S••••••
left Sep 16, 2021, registered Sep 28, 2021 (12 days) · Wirehouse to wirehouse

Signals

J••••••• R• D••• left C•••••• F••••• O•••••• I••• for L•• F•••••••• L•• (registered 2023-11-17)
Sep 21, 2023 · Advisor changed firm · fact
J••••••• R• D••• left S•••• W•••••• L•• for C•••••• F••••• O•••••• I••• (registered 2022-11-14)
Sep 23, 2022 · Advisor changed firm · fact
J••••••• R• D••• left M••••• S•••••• for S•••• W•••••• L•• (registered 2022-08-01)
Jul 21, 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address