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•••••• M••••••

O•••• W•••••• I•••BD affiliatedCary, Ncdual registrantIAPD 3059385

Chartered Financial Analyst

Feed of 09/14/2026

Also filed as Jim M••••••

At current firm

0 y

since Apr 22, 2026

In the industry

28 y

since Jun 18, 1998 (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

O•••• W•••••• I••• BD affiliated current
since Apr 22, 2026 · Cary, Nc
F••••••• F•••••••• A•••••••• L•• i••••••••• wealth
Mar 16, 2024 to Apr 22, 2026 · Cary, Nc
I••••••••• A•••••• A•••••••• L•• i••••••••• wealth
Jan 15, 2016 to Mar 15, 2024 · Cary, Nc
L•• F•••••••• L•• BD affiliated
Oct 18, 2006 to Oct 6, 2020 · Oconomowoc, Wi

Moves

a registration end followed by a registration begin elsewhere

F••••••• F•••••••• A•••••••• L•• to O•••• W•••••• I•••
left Apr 22, 2026, registered Apr 22, 2026 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
I••••••••• A•••••• A•••••••• L•• to F••••••• F•••••••• A•••••••• L••
left Mar 15, 2024, registered Mar 16, 2024 (1 days) · RIA to RIA · moved with a team
L•• F•••••••• L•• to I••••••••• A•••••• A•••••••• L••
left Oct 6, 2020, registered Jan 15, 2016 (-1726 days) · Other

Signals

J•••• M•••••• M•••••• left F••••••• F•••••••• A•••••••• L•• for O•••• W•••••• I••• (registered 2026-04-22)
Apr 22, 2026 · a•••••• firm change · fact
J•••• M•••••• M•••••• left I••••••••• A•••••• A•••••••• L•• for F••••••• F•••••••• A•••••••• L•• (registered 2024-03-16)
Mar 15, 2024 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address