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.

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Registered advisor

J••••• A•••• O•••

N•••••• A•••••••BD affiliatedNew Orleans, La IA-onlyIAPD 2874964

Chartered Financial Analyst

Feed of 09/15/2026

At current firm

1 y

since Oct 4, 2024

In the industry

29 y

since Sep 4, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

N•••••• A••••••• BD affiliated current
since Oct 4, 2024 · Potomac, Md
N•• P•••••• P••••••• L•• former
Apr 14, 2015 to Oct 8, 2024 · North Bethesda, Md
J••••••• L•••• A•••• M••••••••• I•• former
Feb 14, 2013 to Jan 16, 2015 · Washington, Dc
J••••••• L•••• A•••• M••••••••• I•• former
Mar 23, 2006 to Dec 31, 2011 · Washington, Dc
M••••• S•••••• D• I••• unclassified
Feb 1, 2005 to Nov 28, 2005 · Lake Oswego, Or

Moves

a registration end followed by a registration begin elsewhere

N•• P•••••• P••••••• L•• to N•••••• A•••••••
left Oct 8, 2024, registered Oct 4, 2024 (-4 days) · RIA to affiliated broker-dealer or bank
J••••••• L•••• A•••• M••••••••• I•• to N•• P•••••• P••••••• L••
left Jan 16, 2015, registered Apr 14, 2015 (88 days) · Other · moved with a team
M••••• S•••••• D• I••• to J••••••• L•••• A•••• M••••••••• I••
left Nov 28, 2005, registered Mar 23, 2006 (115 days) · Other

Signals

J••••• A•••• O••• left N•• P•••••• P••••••• L•• for N•••••• A••••••• (registered 2024-10-04)
Oct 8, 2024 · 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: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address