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

R••••• J• L•••••••

R••••••••• C•••••• M•••••••••BD affiliatedNaples, Fl dual registrantIAPD 2291704

Feed of 09/15/2026

Also filed as R••••• J• L•••••••

At current firm

0 y

since Jul 20, 2026

In the industry

33 y

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

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, 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

R••••••••• C•••••• M••••••••• BD affiliated current
since Jul 20, 2026 · Ny, Ny
M••••• S•••••• wirehouse
May 16, 2025 to Jul 24, 2026 · Naples, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 11, 2014 to May 19, 2025 · New York, Ny
M••••• S•••••• wirehouse
Jun 1, 2009 to Jul 17, 2014 · Purchase, Ny
M••••• S•••••• • C•• L•• unclassified
Apr 16, 2007 to Jun 1, 2009 · Purchase, Ny

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to R••••••••• C•••••• M•••••••••
left Jul 24, 2026, registered Jul 20, 2026 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••
left May 19, 2025, registered May 16, 2025 (-3 days) · Wirehouse to wirehouse
M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jul 17, 2014, registered Jul 11, 2014 (-6 days) · Wirehouse to wirehouse
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

Signals

R••••• J• L••••••• left M••••• S•••••• for R••••••••• C•••••• M••••••••• (registered 2026-07-20)
Jul 24, 2026 · Advisor changed firm · fact
R••••• J• L••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for M••••• S•••••• (registered 2025-05-16)
May 19, 2025 · 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: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address