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•••• A• M••••••

C••••• I••••••••• A••••••• L••BD affiliatedBozeman, Mt dual registrantIAPD 2494353

Feed of 09/14/2026

Also filed as J•••• A• M••••••

At current firm

3 y

since Jun 29, 2023

In the industry

32 y

since Jul 21, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• I••••••••• A••••••• L•• BD affiliated current
since Jun 29, 2023 · Livingston, Mt
K••••• A••••••• S•••••••• L•• BD affiliated
Oct 30, 2019 to Oct 27, 2021 · Austin, Tx
W•••• C•••••• P••••••• L•• independent RIA
Aug 1, 2019 to Jul 1, 2021 · Bozman, Mt
S•••••• N••••••• • C••••••• I••••••••• national BD
May 22, 2019 to Aug 2, 2019 · Bozeman, Mt
M••••• S•••••• • C•• L•• unclassified
Apr 2, 2007 to Oct 24, 2007 · Wayne, Pa
M••••• S•••••• D• I••• unclassified
Jun 3, 2002 to Apr 2, 2007 · Wyomissing, Pa

Moves

a registration end followed by a registration begin elsewhere

K••••• A••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••
left Oct 27, 2021, registered Jun 29, 2023 (610 days) · Affiliated broker-dealer or bank to another
W•••• C•••••• P••••••• L•• to K••••• A••••••• S•••••••• L••
left Jul 1, 2021, registered Oct 30, 2019 (-610 days) · RIA to affiliated broker-dealer or bank
S•••••• N••••••• • C••••••• I••••••••• to W•••• C•••••• P••••••• L••
left Aug 2, 2019, registered Aug 1, 2019 (-1 days) · Affiliated broker-dealer or bank to independent RIA
M••••• S•••••• • C•• L•• to S•••••• N••••••• • C••••••• I•••••••••
left Oct 24, 2007, registered May 22, 2019 (4228 days) · Other
M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move

Signals

No dated event on this person.

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: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address