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•••• R•••• N••••

R••••••••• C•••••• M•••••••••BD affiliatedNy, Ny dual registrantIAPD 3245720

Feed of 09/15/2026

Also filed as J•••• N••••

At current firm

1 y

since Oct 11, 2024

In the industry

19 y

since Jun 25, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R••••••••• C•••••• M••••••••• BD affiliated current
since Oct 31, 2025 · Ny, Ny
R••••••••• C•••••• M••••••••• BD affiliated current
since Oct 11, 2024 · New York, Ny
M••••• S•••••• wirehouse
Nov 13, 2015 to Oct 29, 2024 · New York, Ny
C••••• S••••• S••••••••• •••• L•• former
Dec 7, 2011 to Dec 7, 2015 · New York, Ny
B••••••• C•••••• I••• former
Jan 21, 2009 to Dec 22, 2011 · New York, Ny
L••••• B••••••• I••• unclassified
Jul 17, 2007 to Oct 15, 2008 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to R••••••••• C•••••• M•••••••••
left Oct 29, 2024, registered Oct 11, 2024 (-18 days) · Wirehouse to affiliated broker-dealer or bank
C••••• S••••• S••••••••• •••• L•• to M••••• S••••••
left Dec 7, 2015, registered Nov 13, 2015 (-24 days) · Other · moved with a team
B••••••• C•••••• I••• to C••••• S••••• S••••••••• •••• L••
left Dec 22, 2011, registered Dec 7, 2011 (-15 days) · Other
L••••• B••••••• I••• to B••••••• C•••••• I•••
left Oct 15, 2008, registered Jan 21, 2009 (98 days) · corporate re-registration, not a move

Signals

J•••• R•••• N•••• left M••••• S•••••• for R••••••••• C•••••• M••••••••• (registered 2024-10-11)
Oct 29, 2024 · 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address