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•••••• L••••••

C••••••••• F•••••••• N••••••national BDColumbia, Mddual registrantIAPD 2326770

Feed of 09/14/2026

Also filed as J••••••• M••••••L L••••••

At current firm

1 y

since Feb 6, 2025

In the industry

33 y

since May 24, 1993 (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••••••••• F•••••••• N•••••• national BD current
since Feb 6, 2025 · Columbia, Md
C••••• I••••••••• A••••••• L•• BD affiliated
Mar 21, 2024 to Feb 7, 2025 · Baltimore, Md
C••••• A••••••• L•• former
Aug 3, 2017 to Mar 21, 2024 · Elliot City, Md
F••••••• F•••••••• S••••••••• L•• independent RIA
Jun 1, 2009 to Aug 11, 2017 · Ellicott City, Md
F•••• A••••• A••••••• S•••••••• I••• former
Jan 3, 2007 to Jun 10, 2009 · Chesterfield, Mo
F•• A••••••• S••••••• I•• unclassified
May 5, 2006 to Jan 3, 2007 · Ellicott City, Md
S•••••••• F••••••••• I••• former
Oct 31, 2005 to May 16, 2006 · Ellicott City, Md
S••••••••• S••••••••• I••• unclassified
Jan 1, 2001 to Oct 31, 2005 · Bel Air, Md

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to C••••••••• F•••••••• N••••••
left Feb 7, 2025, registered Feb 6, 2025 (-1 days) · Affiliated broker-dealer or bank to another
C••••• A••••••• L•• to C••••• I••••••••• A••••••• L••
left Mar 21, 2024, registered Mar 21, 2024 (0 days) · corporate re-registration, not a move
F••••••• F•••••••• S••••••••• L•• to C••••• A••••••• L••
left Aug 11, 2017, registered Aug 3, 2017 (-8 days) · Other
F•••• A••••• A••••••• S•••••••• I••• to F••••••• F•••••••• S••••••••• L••
left Jun 10, 2009, registered Jun 1, 2009 (-9 days) · Other
F•• A••••••• S••••••• I•• to F•••• A••••• A••••••• S•••••••• I•••
left Jan 3, 2007, registered Jan 3, 2007 (0 days) · corporate re-registration, not a move
S•••••••• F••••••••• I••• to F•• A••••••• S••••••• I••
left May 16, 2006, registered May 5, 2006 (-11 days) · Other
S••••••••• S••••••••• I••• to S•••••••• F••••••••• I•••
left Oct 31, 2005, registered Oct 31, 2005 (0 days) · corporate re-registration, not a move

Signals

J••••••• M•••••• L•••••• left C••••• I••••••••• A••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2025-02-06)
Feb 7, 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: National broker-dealer RIAderived
Years in industry: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address