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•••• E••••• S••••

S•••••••• A••••••••• L••formerWalnut Creek, Ca IA-onlyIAPD 801408

Chartered Financial Consultant

Feed of 09/15/2026

Also filed as Jim S••••

At current firm

3 y

since Apr 25, 2023

In the industry

37 y

since Oct 13, 1988 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• A••••••••• L•• former current
since Apr 25, 2023 · Walnut Creek, Ca
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Jun 2, 2010 to Apr 26, 2023 · W••••• Creek, Ca
W••••••• F•••••••• S•••••••• I••• former
Feb 3, 2009 to Jun 7, 2010 · W••••• Creek, Ca
F•• S••••••••• C••••••••• former
Jun 4, 2003 to Feb 3, 2009 · W••••• Creek, Ca
W••••• S••••• A••••••• I•• unclassified
Jul 11, 2001 to Jun 20, 2003 · W••••• Creek, Ca

Moves

a registration end followed by a registration begin elsewhere

C•••••••• I••••••••• R••••••• A•••••••• I••• to S•••••••• A••••••••• L••
left Apr 26, 2023, registered Apr 25, 2023 (-1 days) · Affiliated broker-dealer or bank to independent RIA
W••••••• F•••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Jun 7, 2010, registered Jun 2, 2010 (-5 days) · Other
F•• S••••••••• C••••••••• to W••••••• F•••••••• S•••••••• I•••
left Feb 3, 2009, registered Feb 3, 2009 (0 days) · Other
W••••• S••••• A••••••• I•• to F•• S••••••••• C•••••••••
left Jun 20, 2003, registered Jun 4, 2003 (-16 days) · Other

Signals

J•••• E••••• S•••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for S•••••••• A••••••••• L•• (registered 2023-04-25)
Apr 26, 2023 · 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: Former SEC-registered adviserderived
Years in industry: 37derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address