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•••• L• T•••••

R•••••• J•••• • A••••••••• I•••national BDWestlake, Ohdual registrantIAPD 3152363

Feed of 09/14/2026

Also filed as Julie Lynn Finnie

At current firm

1 y

since Nov 20, 2024

In the industry

19 y

since May 18, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•••••• J•••• • A••••••••• I••• national BD current
since Nov 20, 2024 · Westlake, Oh
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 16, 2022 to Nov 13, 2024 · Pepper Pike, Oh
W•••• F•••• A••••••• wirehouse
Aug 8, 2017 to Sep 21, 2022 · Pepper Pike, Oh
V•••••• A•••••••• I••• BD affiliated
Mar 29, 2016 to Dec 31, 2016 · Pepper Pike, Oh
C••••• A••••••• L•• former
Feb 22, 2011 to Feb 8, 2016 · Akron, Oh
E•••• S••••••••• L•• BD affiliated
Oct 7, 2010 to Jan 31, 2011 · New York, Ny
U•• F•••••••• S••••••• I••• wirehouse
Jun 28, 2007 to Dec 31, 2008 · Hudson, Oh

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••
left Nov 13, 2024, registered Nov 20, 2024 (7 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 21, 2022, registered Dec 16, 2022 (86 days) · Wirehouse to wirehouse
V•••••• A•••••••• I••• to W•••• F•••• A•••••••
left Dec 31, 2016, registered Aug 8, 2017 (220 days) · Other
C••••• A••••••• L•• to V•••••• A•••••••• I•••
left Feb 8, 2016, registered Mar 29, 2016 (50 days) · Other
E•••• S••••••••• L•• to C••••• A••••••• L••
left Jan 31, 2011, registered Feb 22, 2011 (22 days) · Other
U•• F•••••••• S••••••• I••• to E•••• S••••••••• L••
left Dec 31, 2008, registered Oct 7, 2010 (645 days) · Other

Signals

J•••• L• T••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for R•••••• J•••• • A••••••••• I••• (registered 2024-11-20)
Nov 13, 2024 · Advisor changed firm · fact
J•••• L• T••••• left W•••• F•••• A••••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-12-16)
Sep 21, 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: National broker-dealer RIAderived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address