DFX Intelligence
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Registered advisor
N••••••• J••••• M•••••••
Feed of 09/14/2026
Also filed as N••• M••••••••• J••••• M••••••••• J• M•••••••
At current firm
8 y
since Feb 22, 2018
In the industry
34 y
since Oct 18, 1991 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- P•••••••• S••••••••• I••• BD affiliated currentsince Feb 22, 2018 · Des Moines, Ia
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 31, 2017 to Jan 18, 2018 · Schaumburg, Il
- T• A••••••••• I••• formerJul 31, 2017 to Jan 18, 2018 · Schaumburg, Il
- P•••••••• S••••••••• I••• BD affiliatedAug 18, 2005 to Jul 24, 2017 · Downers Grove, Il
- C••••••••• F•••••••• N•••••• national BDJan 26, 2000 to Jun 4, 2003 · Addison, Il
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jan 18, 2018, registered Jul 31, 2017 (-171 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to P•••••••• S••••••••• I•••left Jan 18, 2018, registered Feb 22, 2018 (35 days) · Other
- P•••••••• S••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 24, 2017, registered Jul 31, 2017 (7 days) · Other
- C••••••••• F•••••••• N•••••• to P•••••••• S••••••••• I•••left Jun 4, 2003, registered Aug 18, 2005 (806 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address