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••••• N••••••

A••••• F•••••••• A•••••••• L••independent RIACharlotte, Nc dual registrantIAPD 6672615

Feed of 09/14/2026

At current firm

2 y

since Mar 5, 2024

In the industry

10 y

since Aug 1, 2016 (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

A••••• F•••••••• A•••••••• L•• independent RIA current
since Mar 5, 2024 · Riverton, Ut
B•••••• L••• A••••••• S•••••••• I••• BD affiliated
Feb 6, 2023 to Jun 22, 2023 · Chicago, Il
C•••••• S••••• • C••• I••• national BD
Aug 10, 2022 to Feb 6, 2023 · Westlake, Tx
E•••••• A••••••• G••••• L•• BD affiliated
Jan 7, 2022 to Mar 14, 2022 · Herriman, Ut
W•••• F•••• A••••••• wirehouse
May 20, 2021 to Sep 24, 2021 · Salt Lake City, Ut
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 17, 2018 to Oct 28, 2019 · Salt Lake City, Ut

Moves

a registration end followed by a registration begin elsewhere

B•••••• L••• A••••••• S•••••••• I••• to A••••• F•••••••• A•••••••• L••
left Jun 22, 2023, registered Mar 5, 2024 (257 days) · Affiliated broker-dealer or bank to independent RIA
C•••••• S••••• • C••• I••• to B•••••• L••• A••••••• S•••••••• I•••
left Feb 6, 2023, registered Feb 6, 2023 (0 days) · Affiliated broker-dealer or bank to another
E•••••• A••••••• G••••• L•• to C•••••• S••••• • C••• I•••
left Mar 14, 2022, registered Aug 10, 2022 (149 days) · Other
W•••• F•••• A••••••• to E•••••• A••••••• G••••• L••
left Sep 24, 2021, registered Jan 7, 2022 (105 days) · Other
F••••••• P••••••• A•• W•••••••• A••••••• to W•••• F•••• A•••••••
left Oct 28, 2019, registered May 20, 2021 (570 days) · Affiliated broker-dealer or bank to wirehouse

Signals

J••••• N•••••• left B•••••• L••• A••••••• S•••••••• I••• for A••••• F•••••••• A•••••••• L•• (registered 2024-03-05)
Jun 22, 2023 · Advisor changed firm · fact
J••••• N•••••• left C•••••• S••••• • C••• I••• for B•••••• L••• A••••••• S•••••••• I••• (registered 2023-02-06)
Feb 6, 2023 · Advisor changed firm · fact
J••••• N•••••• left E•••••• A••••••• G••••• L•• for C•••••• S••••• • C••• I••• (registered 2022-08-10)
Mar 14, 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: Independent wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address