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

M•••••• J• M••••••

H•••••••• A•••••••• L••BD affiliatedMadison, Ct dual registrantIAPD 3195575

Certified Financial Planner

Feed of 09/14/2026

Also filed as M•••••• J• M••••••

At current firm

12 y

since Nov 15, 2013

In the industry

27 y

since May 18, 1999 (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

H•••••••• A•••••••• L•• BD affiliated current
since Nov 15, 2013 · Madison, Ct
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 29, 2008 to Nov 19, 2013 · Guilford, Ct
W•••• F•••• A••••••• wirehouse
Jun 2, 2006 to Jul 3, 2007 · Northford, Ct
N••••••••• I••••••••• I••• unclassified
Jan 19, 2005 to May 31, 2006 · New Haven, Ct
R•••••• J•••• F•••••••• S•••••••• I••• unclassified
Sep 10, 2002 to Jan 7, 2004 · Milford, Ct
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 3, 1999 to Aug 15, 2002 · New Haven, Ct

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H•••••••• A•••••••• L••
left Nov 19, 2013, registered Nov 15, 2013 (-4 days) · Other
W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jul 3, 2007, registered Jan 29, 2008 (210 days) · Wirehouse to wirehouse
N••••••••• I••••••••• I••• to W•••• F•••• A•••••••
left May 31, 2006, registered Jun 2, 2006 (2 days) · Other
R•••••• J•••• F•••••••• S•••••••• I••• to N••••••••• I••••••••• I•••
left Jan 7, 2004, registered Jan 19, 2005 (378 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• F•••••••• S•••••••• I•••
left Aug 15, 2002, registered Sep 10, 2002 (26 days) · Other

Signals

No dated event on this person.

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