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••• D••••• T••••

S•••••• W••••• P•••••••• L••BD affiliatedTarrytown, Nydual registrantIAPD 6676325

Feed of 09/14/2026

Also filed as John Jack Traut

At current firm

3 y

since May 8, 2023

In the industry

14 y

since Aug 1, 2012 (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

S•••••• W••••• P•••••••• L•• BD affiliated current
since May 8, 2023 · Tarrytown, Ny
O••••••••• • C•• I••• BD affiliated
Feb 20, 2020 to Dec 22, 2022 · Jericho, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 24, 2017 to Feb 19, 2020 · Staten Island, Ny
E•••••••• A•••••••• L•• national BD
Mar 15, 2017 to Sep 13, 2017 · Staten Island, Ny

Moves

a registration end followed by a registration begin elsewhere

O••••••••• • C•• I••• to S•••••• W••••• P•••••••• L••
left Dec 22, 2022, registered May 8, 2023 (137 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O••••••••• • C•• I•••
left Feb 19, 2020, registered Feb 20, 2020 (1 days) · Wirehouse to affiliated broker-dealer or bank
E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 13, 2017, registered Oct 24, 2017 (41 days) · Affiliated broker-dealer or bank to wirehouse

Signals

J••• D••••• T•••• left O••••••••• • C•• I••• for S•••••• W••••• P•••••••• L•• (registered 2023-05-08)
Dec 22, 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address