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

D•••• J••• M•••••••••

W•••• F•••• A•••••••wirehouseTucson, Azdual registrantIAPD 2527755

Feed of 09/14/2026

Also filed as D•••• J M•••••••••

At current firm

8 y

since Oct 26, 2017

In the industry

32 y

since Sep 9, 1994 (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

W•••• F•••• A••••••• wirehouse current
since Oct 26, 2017 · Tucson, Az
R•• C•••••• M••••••• L•• national BD
Nov 20, 2014 to Oct 25, 2017 · Peoria, Az
O••••••••• • C•• I••• BD affiliated
Jan 15, 2010 to Nov 17, 2014 · Scottsdale, Az
U•• F•••••••• S••••••• I••• wirehouse
May 28, 2009 to Nov 19, 2009 · Naples, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 24, 2003 to Feb 24, 2004 · Melville, Ny

Moves

a registration end followed by a registration begin elsewhere

R•• C•••••• M••••••• L•• to W•••• F•••• A•••••••
left Oct 25, 2017, registered Oct 26, 2017 (1 days) · Affiliated broker-dealer or bank to wirehouse
O••••••••• • C•• I••• to R•• C•••••• M••••••• L••
left Nov 17, 2014, registered Nov 20, 2014 (3 days) · Other
U•• F•••••••• S••••••• I••• to O••••••••• • C•• I•••
left Nov 19, 2009, registered Jan 15, 2010 (57 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••
left Feb 24, 2004, registered May 28, 2009 (1920 days) · Wirehouse to wirehouse

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