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•••• M••••

K••••• A••••••• S•••••••• L••BD affiliatedFredericksburg, Tx dual registrantIAPD 2083686

Feed of 09/15/2026

Also filed as Jim Mills

At current firm

2 y

since Mar 7, 2024

In the industry

36 y

since Aug 17, 1990 (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

K••••• A••••••• S•••••••• L•• BD affiliated current
since Mar 7, 2024 · Fredericksburg, Tx
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Dec 15, 2020 to Oct 27, 2023 · Abilene,, Tx
A••••••••• F•••••••• S•••••••• L•• national BD
Dec 12, 2014 to Dec 22, 2020 · San Antonio, Tx
I••••••••• P••••••••• I••• former
Sep 30, 2013 to Dec 24, 2014 · San Antonio, Tx
E••••• J•••• national BD
Jan 19, 2007 to Oct 1, 2013 · Bastrop, Tx

Moves

a registration end followed by a registration begin elsewhere

C•••••••• I••••••••• R••••••• A•••••••• I••• to K••••• A••••••• S•••••••• L••
left Oct 27, 2023, registered Mar 7, 2024 (132 days) · Affiliated broker-dealer or bank to another
A••••••••• F•••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Dec 22, 2020, registered Dec 15, 2020 (-7 days) · Affiliated broker-dealer or bank to another
I••••••••• P••••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Dec 24, 2014, registered Dec 12, 2014 (-12 days) · Other
E••••• J•••• to I••••••••• P••••••••• I•••
left Oct 1, 2013, registered Sep 30, 2013 (-1 days) · Other

Signals

J•••• M•••• M•••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for K••••• A••••••• S•••••••• L•• (registered 2024-03-07)
Oct 27, 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: 36derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address