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••• R•••••• U••••

J••• M••••• S••••••••• L••wirehouseGuilford, Ct dual registrantIAPD 2084506

Feed of 09/15/2026

Also filed as J••• R U••••

At current firm

1 y

since May 7, 2025

In the industry

36 y

since Aug 24, 1990 (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

J••• M••••• S••••••••• L•• wirehouse current
since May 7, 2025 · Southport, Ct
J••••• M••••••••• S•••• L•• BD affiliated
Nov 19, 2024 to May 9, 2025 · New Haven, Ct
O•••• I••••••••• I••• BD affiliated
Jun 5, 2015 to Nov 20, 2024 · Mystic, Ct
L•• F•••••••• L•• BD affiliated
Mar 5, 2012 to Mar 18, 2015 · New Haven, Ct
C••••••• S••••••••• I••• BD affiliated
Aug 9, 2007 to Mar 20, 2012 · Springfield, Ma
I••• S••••••••• I••• unclassified
Dec 20, 2006 to Aug 9, 2007 · New Haven, Ct
C•••• I••••••••• S••••••• C•••• former
Apr 20, 2005 to Mar 23, 2006 · Danbury, Ct

Moves

a registration end followed by a registration begin elsewhere

J••••• M••••••••• S•••• L•• to J••• M••••• S••••••••• L••
left May 9, 2025, registered May 7, 2025 (-2 days) · Affiliated broker-dealer or bank to wirehouse
O•••• I••••••••• I••• to J••••• M••••••••• S•••• L••
left Nov 20, 2024, registered Nov 19, 2024 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
L•• F•••••••• L•• to O•••• I••••••••• I•••
left Mar 18, 2015, registered Jun 5, 2015 (79 days) · Other
C••••••• S••••••••• I••• to L•• F•••••••• L••
left Mar 20, 2012, registered Mar 5, 2012 (-15 days) · Other
I••• S••••••••• I••• to C••••••• S••••••••• I•••
left Aug 9, 2007, registered Aug 9, 2007 (0 days) · Other
C•••• I••••••••• S••••••• C•••• to I••• S••••••••• I•••
left Mar 23, 2006, registered Dec 20, 2006 (272 days) · Other

Signals

J••• R•••••• U•••• left J••••• M••••••••• S•••• L•• for J••• M••••• S••••••••• L•• (registered 2025-05-07)
May 9, 2025 · Advisor changed firm · fact
J••• R•••••• U•••• left O•••• I••••••••• I••• for J••••• M••••••••• S•••• L•• (registered 2024-11-19)
Nov 20, 2024 · 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: Wirehousederived
Years in industry: 36derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address