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••• S••

J••• M••••• S••••••••• L••wirehouseIrvine, Cadual registrantIAPD 7070737

Feed of 09/14/2026

At current firm

0 y

since Dec 17, 2025

In the industry

10 y

since Dec 1, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, 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 Dec 17, 2025 · Irvine, Ca
S••••• W••••• A•••••••• I••• no RAUM
Aug 22, 2025 to Dec 24, 2025 · Irvine, Ca
C•••••• S••••• • C••• I••• national BD
Aug 22, 2025 to Oct 3, 2025 · Irvine, Ca
J••• M••••• S••••••••• L•• wirehouse
Jul 1, 2024 to Jul 23, 2025 · Irvine, Ca
S••••••• A•••••••• L•• asset manager
Nov 30, 2023 to May 24, 2024 · Irvine, Ca
E•••• A•••••••• L•• former
Mar 11, 2019 to Dec 31, 2020 · Irvine, Ca

Moves

a registration end followed by a registration begin elsewhere

S••••• W••••• A•••••••• I••• to J••• M••••• S••••••••• L••
left Dec 24, 2025, registered Dec 17, 2025 (-7 days) · Other
C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••
left Oct 3, 2025, registered Aug 22, 2025 (-42 days) · channel change inside one enterprise, not a move
J••• M••••• S••••••••• L•• to C•••••• S••••• • C••• I•••
left Jul 23, 2025, registered Aug 22, 2025 (30 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
S••••••• A•••••••• L•• to J••• M••••• S••••••••• L••
left May 24, 2024, registered Jul 1, 2024 (38 days) · Other
E•••• A•••••••• L•• to S••••••• A•••••••• L••
left Dec 31, 2020, registered Nov 30, 2023 (1064 days) · Other · moved with a team

Signals

J••• S•• left S••••• W••••• A•••••••• I••• for J••• M••••• S••••••••• L•• (registered 2025-12-17)
Dec 24, 2025 · Advisor changed firm · fact
J••• S•• left J••• M••••• S••••••••• L•• for C•••••• S••••• • C••• I••• (registered 2025-08-22)
Jul 23, 2025 · Advisor changed firm · fact
J••• S•• left S••••••• A•••••••• L•• for J••• M••••• S••••••••• L•• (registered 2024-07-01)
May 24, 2024 · 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: Wirehousederived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address