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••••• M•••••• N•••••

C•••••• A•••••••BD affiliatedLutz, Fl dual registrantIAPD 1472226

Feed of 09/14/2026

Also filed as Joe M N•••••

At current firm

3 y

since Jul 3, 2023

In the industry

40 y

since Mar 26, 1986 (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

C•••••• A••••••• BD affiliated current
since Jul 3, 2023 · Jonesboro, Ar
L•••••• I••••••••• independent RIA current
since Jul 3, 2023 · Jonesboro, Ar
A••••••••• F•••••••• S•••••••• L•• national BD
Feb 5, 2021 to Jul 18, 2023 · Jonesboro, Ar
C•••••• A••••••• BD affiliated
Jan 19, 2017 to Feb 5, 2021 · Destin, Fl
L•••••• I••••••••• independent RIA
Jan 30, 2013 to Feb 5, 2021 · Jonesboro, Ar
Q•••••• A•••• M••••••••• I••• former
Aug 11, 2009 to Dec 20, 2012 · Minneapolis, Mn
Q•••••• A•••• M••••••••• I••• former
Sep 7, 2006 to Dec 19, 2008 · Destin, Fl
U•••••••• S••••••••• I••• unclassified
Feb 4, 2005 to Jun 16, 2006 · Destin, Fl

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to L•••••• I•••••••••
left Jul 18, 2023, registered Jul 3, 2023 (-15 days) · Affiliated broker-dealer or bank to independent RIA
C•••••• A••••••• to A••••••••• F•••••••• S•••••••• L••
left Feb 5, 2021, registered Feb 5, 2021 (0 days) · Affiliated broker-dealer or bank to another
L•••••• I••••••••• to C•••••• A•••••••
left Feb 5, 2021, registered Jan 19, 2017 (-1478 days) · Other
Q•••••• A•••• M••••••••• I••• to L•••••• I•••••••••
left Dec 20, 2012, registered Jan 30, 2013 (41 days) · Other
U•••••••• S••••••••• I••• to Q•••••• A•••• M••••••••• I•••
left Jun 16, 2006, registered Sep 7, 2006 (83 days) · corporate re-registration, not a move

Signals

J••••• M•••••• N••••• left A••••••••• F•••••••• S•••••••• L•• for L•••••• I••••••••• (registered 2023-07-03)
Jul 18, 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: 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