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•••••••• I•

W•••• F•••• A•••••••wirehouseFairfield, Ca dual registrantIAPD 3074173

Feed of 09/14/2026

Also filed as J••• M Im

At current firm

2 y

since Aug 13, 2024

In the industry

28 y

since Sep 17, 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

W•••• F•••• A••••••• wirehouse current
since Aug 13, 2024 · Santa Rosa, Ca
L•• F•••••••• L•• BD affiliated
Nov 30, 2020 to Aug 22, 2024 · Napa, Ca
U••• B•••••• I••••••••• I••• former
Sep 27, 2016 to Dec 1, 2020 · Vallejo, Ca
M••••• S•••••• wirehouse
Jun 19, 2014 to Oct 3, 2016 · Napa, Ca
D•••• S••••••••• M••••••••• C••• former
Apr 2, 2013 to Dec 9, 2014 · Napa, Ca
V•••• F•••••••• A•••••••• I••• BD affiliated
Mar 9, 2011 to Feb 14, 2013 · Lakewood, Co

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to W•••• F•••• A•••••••
left Aug 22, 2024, registered Aug 13, 2024 (-9 days) · Affiliated broker-dealer or bank to wirehouse
U••• B•••••• I••••••••• I••• to L•• F•••••••• L••
left Dec 1, 2020, registered Nov 30, 2020 (-1 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to U••• B•••••• I••••••••• I•••
left Oct 3, 2016, registered Sep 27, 2016 (-6 days) · Other
D•••• S••••••••• M••••••••• C••• to M••••• S••••••
left Dec 9, 2014, registered Jun 19, 2014 (-173 days) · Other
V•••• F•••••••• A•••••••• I••• to D•••• S••••••••• M••••••••• C•••
left Feb 14, 2013, registered Apr 2, 2013 (47 days) · Other

Signals

J••• M•••••••• I• left L•• F•••••••• L•• for W•••• F•••• A••••••• (registered 2024-08-13)
Aug 22, 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: Wirehousederived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address