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••• C•••••••

M••••• S••••••wirehouseOak Brook, Ildual registrantIAPD 3202696

Feed of 09/14/2026

Also filed as M J••• C•••••••

At current firm

4 y

since Aug 5, 2022

In the industry

27 y

since Apr 2, 1999 (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

M••••• S•••••• wirehouse current
since Aug 5, 2022 · Oak Brook, Il
F•••• T•••• S••••••••• I••• BD affiliated
Jun 3, 2019 to Aug 8, 2022 · Oak Brook, Il
C••••• I••••••••• A••••••• L•• BD affiliated
Jan 21, 2014 to May 31, 2019 · Oak Brook, Il
C••••• I••••••••• S••••••• L•• former
Dec 6, 2011 to Jan 21, 2014 · Oak Brook, Il
V••••• A•••• M••••••••• I•• unclassified
Jan 30, 2006 to Sep 3, 2009 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

F•••• T•••• S••••••••• I••• to M••••• S••••••
left Aug 8, 2022, registered Aug 5, 2022 (-3 days) · Affiliated broker-dealer or bank to wirehouse
C••••• I••••••••• A••••••• L•• to F•••• T•••• S••••••••• I•••
left May 31, 2019, registered Jun 3, 2019 (3 days) · Affiliated broker-dealer or bank to another · moved with a team
C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••
left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
V••••• A•••• M••••••••• I•• to C••••• I••••••••• S••••••• L••
left Sep 3, 2009, registered Dec 6, 2011 (824 days) · Other

Signals

M••••• J••• C••••••• left F•••• T•••• S••••••••• I••• for M••••• S•••••• (registered 2022-08-05)
Aug 8, 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address