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

G••• S••••••••

J••• M••••• S••••••••• L••wirehousePowell, Oh dual registrantIAPD 3122700

Feed of 09/15/2026

Also filed as G••• S••••••••

At current firm

3 y

since Nov 10, 2022

In the industry

22 y

since Jul 16, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

J••• M••••• S••••••••• L•• wirehouse current
since Nov 10, 2022 · Powell, Oh
N••••••••• I••••••••• A•••••••• L•• BD affiliated
Mar 10, 2016 to Oct 25, 2022 · Columbus, Oh
N••••••••• S••••••••• L•• no RAUM
Feb 8, 2012 to Mar 21, 2016 · Columbus, Oh
C•••••••• F•••••••• G•••• A••••••• former
Nov 13, 2006 to Apr 7, 2010 · Columbus, Oh
J••• M••••• A•••• M••••••••• unclassified
Jul 20, 2004 to Jan 27, 2005 · Columbus, Oh

Moves

a registration end followed by a registration begin elsewhere

N••••••••• I••••••••• A•••••••• L•• to J••• M••••• S••••••••• L••
left Oct 25, 2022, registered Nov 10, 2022 (16 days) · Affiliated broker-dealer or bank to wirehouse
N••••••••• S••••••••• L•• to N••••••••• I••••••••• A•••••••• L••
left Mar 21, 2016, registered Mar 10, 2016 (-11 days) · corporate re-registration, not a move
C•••••••• F•••••••• G•••• A••••••• to N••••••••• S••••••••• L••
left Apr 7, 2010, registered Feb 8, 2012 (672 days) · Other
J••• M••••• A•••• M••••••••• to C•••••••• F•••••••• G•••• A•••••••
left Jan 27, 2005, registered Nov 13, 2006 (655 days) · Other

Signals

G••• S•••••••• left N••••••••• I••••••••• A•••••••• L•• for J••• M••••• S••••••••• L•• (registered 2022-11-10)
Oct 25, 2022 · 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address