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•••••• T••

L•• F•••••••• L••BD affiliatedDowney, Ca dual registrantIAPD 3129797

Feed of 09/15/2026

Also filed as J••• M•••••• T••

At current firm

3 y

since Jun 4, 2023

In the industry

27 y

since Oct 2, 1998 (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

L•• F•••••••• L•• BD affiliated current
since Jun 4, 2023 · Statesville, Nc
G••••••• W••••• M••••••••• BD affiliated
Jan 6, 2017 to May 12, 2023 · Arden Hills, Mn
M••••••••• A•••• M••••••••• L•• unclassified
Oct 7, 2008 to Dec 31, 2016 · Anaheim, Ca
E•• F•••••••• A••••••• independent RIA
May 4, 2004 to Oct 5, 2007 · Fullerton, Ca
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Apr 4, 2001 to May 21, 2003 · Culver City, Ca

Moves

a registration end followed by a registration begin elsewhere

G••••••• W••••• M••••••••• to L•• F•••••••• L••
left May 12, 2023, registered Jun 4, 2023 (23 days) · Affiliated broker-dealer or bank to another
M••••••••• A•••• M••••••••• L•• to G••••••• W••••• M•••••••••
left Dec 31, 2016, registered Jan 6, 2017 (6 days) · Other
E•• F•••••••• A••••••• to M••••••••• A•••• M••••••••• L••
left Oct 5, 2007, registered Oct 7, 2008 (368 days) · Other
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to E•• F•••••••• A•••••••
left May 21, 2003, registered May 4, 2004 (349 days) · Other

Signals

J••• M•••••• T•• left G••••••• W••••• M••••••••• for L•• F•••••••• L•• (registered 2023-06-04)
May 12, 2023 · 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address