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•••• D••• M•••••••

C••••••• P••••••• I••••••••• A•••••••• L••i••••••••• managerNewport Beach, Ca IA-onlyIAPD 1683371

Feed of 09/15/2026

Also filed as Jim M•••••••

At current firm

4 y

since Nov 9, 2021

In the industry

34 y

since Jan 10, 1992 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••• P••••••• I••••••••• A•••••••• L•• i••••••••• manager current
since Nov 9, 2021 · Newport Beach, Ca
O••••••••• i••••••••• manager
Dec 22, 2014 to Dec 31, 2014 · Golden Valley, Mn
O••••••••• i••••••••• manager
Dec 22, 2014 to Jan 6, 2022 · Golden Valley, Mn
F•••••••• A•••••••• A••••••• S••••••• former
Jan 28, 2014 to Dec 31, 2014 · Olympia, Wa
L•• F•••••••• L•• BD affiliated
Nov 30, 2010 to Mar 2, 2017 · Fort Mill, Sc
N•• A•••••••• I••• unclassified
Mar 4, 2008 to Nov 30, 2010 · Minneapolis, Mn
N•• F••••••••• I••• unclassified
Mar 14, 2007 to Oct 15, 2008 · Minneapolis, Mn
W•••• F•••• A••••••• wirehouse
Jul 21, 2003 to Jul 21, 2003 · Seattle, Wa

Moves

a registration end followed by a registration begin elsewhere

O••••••••• to C••••••• P••••••• I••••••••• A•••••••• L••
left Jan 6, 2022, registered Nov 9, 2021 (-58 days) · Other · moved with a team
L•• F•••••••• L•• to F•••••••• A•••••••• A••••••• S•••••••
left Mar 2, 2017, registered Jan 28, 2014 (-1129 days) · Other · moved with a team
F•••••••• A•••••••• A••••••• S••••••• to O•••••••••
left Dec 31, 2014, registered Dec 22, 2014 (-9 days) · Other
N•• A•••••••• I••• to L•• F•••••••• L••
left Nov 30, 2010, registered Nov 30, 2010 (0 days) · corporate re-registration, not a move
N•• F••••••••• I••• to N•• A•••••••• I•••
left Oct 15, 2008, registered Mar 4, 2008 (-225 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to N•• F••••••••• I•••
left Jul 21, 2003, registered Mar 14, 2007 (1332 days) · Other

Signals

J•••• D••• M••••••• left Onedigital for C••••••• P••••••• I••••••••• A•••••••• L•• (registered 2021-11-09)
Jan 6, 2022 · 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: I••••••••• MANAGERderived
Years in industry: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address