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.
Registered advisor
John Carter Forbes
Feed of 09/14/2026
At current firm
12 y
since Feb 5, 2014
In the industry
40 y
since Sep 23, 1985 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
7
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Lasalle St. Investment Advisors, L.L.C. BD affiliated currentsince Feb 5, 2014 · Escondido, Ca
- Securities America Advisors, Inc. formerSep 11, 2012 to Jan 20, 2014 · Escondido, Ca
- Financial West Group formerNov 18, 2011 to Sep 11, 2012 · Escondido, Ca
- Torrey Pines Securities, Inc. unclassifiedJun 11, 2007 to Nov 21, 2011 · San Diego, Ca
- RBC Capital Markets, LLC national BDMay 28, 2002 to Jun 12, 2003 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- Securities America Advisors, Inc. to Lasalle St. Investment Advisors, L.L.C.left Jan 20, 2014, registered Feb 5, 2014 (16 days) · Other
- Financial West Group to Securities America Advisors, Inc.left Sep 11, 2012, registered Sep 11, 2012 (0 days) · Other
- Torrey Pines Securities, Inc. to Financial West Groupleft Nov 21, 2011, registered Nov 18, 2011 (-3 days) · Other
- RBC Capital Markets, LLC to Torrey Pines Securities, Inc.left Jun 12, 2003, registered Jun 11, 2007 (1460 days) · Other
Signals
No dated event on this person.
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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address