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

G•••••• J••• S•••••

J••• M••••• S••••••••• L••wirehouseLos Angeles, Ca dual registrantIAPD 7015765

Feed of 09/15/2026

Also filed as G•••••• J••• S•••••

At current firm

0 y

since Feb 27, 2026

In the industry

12 y

since Apr 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, 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 Feb 27, 2026 · Los Angeles, Ca
A••••••••• F•••••••• S•••••••• L•• national BD
Feb 19, 2025 to Feb 23, 2026 · Redondo Beach, Ca
L•••••• O•• I••••••••• M••••••••• asset manager
Jan 17, 2023 to Feb 7, 2025 · L••••••Ville, Il
C••••• A•••••• N••••••• L•• former
Feb 27, 2020 to Dec 31, 2022 · El Segundo, Ca

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to J••• M••••• S••••••••• L••
left Feb 23, 2026, registered Feb 27, 2026 (4 days) · Affiliated broker-dealer or bank to wirehouse
L•••••• O•• I••••••••• M••••••••• to A••••••••• F•••••••• S•••••••• L••
left Feb 7, 2025, registered Feb 19, 2025 (12 days) · Other
C••••• A•••••• N••••••• L•• to L•••••• O•• I••••••••• M•••••••••
left Dec 31, 2022, registered Jan 17, 2023 (17 days) · Other

Signals

G•••••• J••• S••••• left A••••••••• F•••••••• S•••••••• L•• for J••• M••••• S••••••••• L•• (registered 2026-02-27)
Feb 23, 2026 · a•••••• firm change · fact
G•••••• J••• S••••• left L•••••• O•• I••••••••• M••••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-02-19)
Feb 7, 2025 · a•••••• firm change · fact
G•••••• J••• S••••• left C••••• A•••••• N••••••• L•• for L•••••• O•• I••••••••• M••••••••• (registered 2023-01-17)
Dec 31, 2022 · a•••••• firm change · 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address