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

R•••••• J• G•••••

J••• M••••• S••••••••• L••wirehouseChicago, Ildual registrantIAPD 7080921

Feed of 09/18/2026

Also filed as Rosendo Jesus Garcia

At current firm

0 y

since Sep 15, 2026

In the industry

12 y

since Jun 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, S65

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 Sep 15, 2026 · Chicago, Il
S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Belvidere, Il
S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Belvidere, Il
S•••••••• A••••••• L•• national BD
Mar 31, 2025 to Sep 17, 2026 · Belvidere, Il
F••••••• P••••••• A•• W•••••••• A••••••• former
Apr 23, 2024 to Mar 31, 2025 · Chicago, Il
F••••••• P••••••• A•• W•••••••• A••••••• former
Apr 23, 2024 to Mar 31, 2025 · Chicago, Il
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 3, 2020 to Mar 21, 2024 · Northbrook, Il
A••••••••• F•••••••• S•••••••• L•• national BD
Jun 28, 2019 to Sep 22, 2020 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

S•••••••• A••••••• L•• to J••• M••••• S••••••••• L••
left Sep 17, 2026, registered Sep 15, 2026 (-2 days) · Affiliated broker-dealer or bank to wirehouse
F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Mar 21, 2024, registered Apr 23, 2024 (33 days) · Wirehouse to affiliated broker-dealer or bank
A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 22, 2020, registered Nov 3, 2020 (42 days) · Affiliated broker-dealer or bank to wirehouse

Signals

R•••••• J• G••••• added a TX registration at J••• M••••• S••••••••• L••
Sep 17, 2026 · New state registration · fact
R•••••• J• G••••• left S•••••••• A••••••• L•• for J••• M••••• S••••••••• L•• (registered 2026-09-15)
Sep 17, 2026 · Advisor changed firm · fact
R•••••• J• G••••• added a IL registration at J••• M••••• S••••••••• L••
Sep 15, 2026 · New state registration · fact
R•••••• J• G••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-04-23)
Mar 21, 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address