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• B•••••

S••••• W••••• M••••••••• L••independent RIAMatthews, NcIA-onlyIAPD 2664035

Certified Financial Planner

Feed of 09/14/2026

Also filed as Joseph Matthew Brooks

At current firm

2 y

since May 1, 2024

In the industry

26 y

since Jan 20, 2000 (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

Professional profile

what the firm itself publishes, with the page it was read from

Title: Senior Client Manager, Private Client Groupreportedsapere.comfirm site, Sep 15, 2026

Only business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.

Registration history

IAPD current and previous registrations

S••••• W••••• M••••••••• L•• independent RIA current
since May 1, 2024 · Matthews, Nc
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Oct 23, 2018 to Oct 31, 2023 · Charlotte, Nc
K••••• A••••••• S•••••••• L•• BD affiliated
Apr 19, 2016 to Oct 8, 2018 · Charlotte, Nc
N•• A•••••• S•••••••• L•• former
Nov 30, 2010 to Sep 22, 2016 · Charlotte, Nc
N•• A•••••••• I••• unclassified
Dec 16, 2008 to Nov 29, 2010 · Charlotte, Nc
N•• A•••••• S•••••••• L•• former
Apr 1, 2005 to Nov 26, 2008 · Charlotte, Nc
O•••• F•• I••• former
May 13, 2002 to Jun 2, 2003 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

N••••••••• M••••• I••••••••• S••••••••• to S••••• W••••• M••••••••• L••
left Oct 31, 2023, registered May 1, 2024 (183 days) · Other
K••••• A••••••• S•••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••
left Oct 8, 2018, registered Oct 23, 2018 (15 days) · Other
N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••
left Sep 22, 2016, registered Apr 19, 2016 (-156 days) · corporate re-registration, not a move
N•• A•••••••• I••• to N•• A•••••• S•••••••• L••
left Nov 29, 2010, registered Nov 30, 2010 (1 days) · Other
N•• A•••••• S•••••••• L•• to N•• A•••••••• I•••
left Nov 26, 2008, registered Dec 16, 2008 (20 days) · Other
O•••• F•• I••• to N•• A•••••• S•••••••• L••
left Jun 2, 2003, registered Apr 1, 2005 (669 days) · Other

Signals

J••••• M• B••••• left N••••••••• M••••• I••••••••• S••••••••• for S••••• W••••• M••••••••• L•• (registered 2024-05-01)
Oct 31, 2023 · a•••••• firm change · 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: Independent wealth managerderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address