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•••• D••••••

S•••••• P••••••• I••••••••• A•••••••• L••BD affiliatedSalisbury, Ma dual registrantIAPD 3146062

Feed of 09/15/2026

Also filed as Jean Marie Phipps

At current firm

4 y

since Aug 23, 2022

In the industry

27 y

since Nov 10, 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

S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated current
since Aug 23, 2022 · Manchester, Nh
J••• M••••• S••••••••• L•• wirehouse
Dec 8, 2021 to Aug 20, 2022 · Columbus, Oh
U•• F•••••••• S••••••• I••• wirehouse
Nov 1, 2016 to Dec 16, 2021 · Boston, Ma
M••••• S•••••• wirehouse
Apr 18, 2013 to Oct 29, 2016 · Wellesley, Ma
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 12, 2011 to Aug 6, 2012 · Wellesley Hills, Ma
M••••• S•••••• wirehouse
Jun 1, 2009 to Aug 5, 2011 · Miami, Fl
C•••••••• G••••• M•••••• I••• BD affiliated
Jun 14, 2006 to Jun 1, 2009 · Miami, Fl
M••••• K••••• • C••••••• L•• former
Aug 16, 2005 to May 26, 2006 · Coral Gables, Fl
W•••• F•••• A••••••• wirehouse
Jan 9, 2004 to Aug 16, 2005 · Brentwood, Tn

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to S•••••• P••••••• I••••••••• A•••••••• L••
left Aug 20, 2022, registered Aug 23, 2022 (3 days) · Wirehouse to affiliated broker-dealer or bank
U•• F•••••••• S••••••• I••• to J••• M••••• S••••••••• L••
left Dec 16, 2021, registered Dec 8, 2021 (-8 days) · Wirehouse to wirehouse
M••••• S•••••• to U•• F•••••••• S••••••• I•••
left Oct 29, 2016, registered Nov 1, 2016 (3 days) · Wirehouse to wirehouse · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••
left Aug 6, 2012, registered Apr 18, 2013 (255 days) · Wirehouse to wirehouse
M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 5, 2011, registered Sep 12, 2011 (38 days) · Wirehouse to wirehouse
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
M••••• K••••• • C••••••• L•• to C•••••••• G••••• M•••••• I•••
left May 26, 2006, registered Jun 14, 2006 (19 days) · Other
W•••• F•••• A••••••• to M••••• K••••• • C••••••• L••
left Aug 16, 2005, registered Aug 16, 2005 (0 days) · Other

Signals

J••• M•••• D•••••• left J••• M••••• S••••••••• L•• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2022-08-23)
Aug 20, 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: 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