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••• S••••

A••••• A•• P••••••• S•••••••BD affiliatedGlendale, Az dual registrantIAPD 3247841

Feed of 09/14/2026

Also filed as J••••••• L••• Miller

At current firm

0 y

since Aug 11, 2026

In the industry

25 y

since May 4, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••• A•• P••••••• S••••••• BD affiliated current
since Aug 11, 2026 · Glendale, Az
J••• M••••• S••••••••• L•• wirehouse
Apr 7, 2022 to Jul 17, 2026 · Tempe, Az
V••••••• A•••••••• I••• BD affiliated
Feb 2, 2021 to Mar 23, 2022 · Scottsdale, Az
A••••••••• I••• BD affiliated
Jul 16, 2009 to May 24, 2010 · Concord, Ca
F•• S••••••••• C••••••••• former
Jan 16, 2009 to Mar 24, 2009 · Camanche, Ia
S•••••••• F••••••••• I••• former
Oct 31, 2005 to Dec 26, 2008 · Phoenix, Az
S••••••••• S••••••••• I••• unclassified
Jun 11, 2003 to Oct 31, 2005 · Phoenix, Az
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 4, 2001 to Jul 29, 2002 · Cedar Rapids, Ia

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to A••••• A•• P••••••• S•••••••
left Jul 17, 2026, registered Aug 11, 2026 (25 days) · Wirehouse to affiliated broker-dealer or bank
V••••••• A•••••••• I••• to J••• M••••• S••••••••• L••
left Mar 23, 2022, registered Apr 7, 2022 (15 days) · Affiliated broker-dealer or bank to wirehouse
A••••••••• I••• to V••••••• A•••••••• I•••
left May 24, 2010, registered Feb 2, 2021 (3907 days) · Other
F•• S••••••••• C••••••••• to A••••••••• I•••
left Mar 24, 2009, registered Jul 16, 2009 (114 days) · Other
S•••••••• F••••••••• I••• to F•• S••••••••• C•••••••••
left Dec 26, 2008, registered Jan 16, 2009 (21 days) · Other
S••••••••• S••••••••• I••• to S•••••••• F••••••••• I•••
left Oct 31, 2005, registered Oct 31, 2005 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••••••• S••••••••• I•••
left Jul 29, 2002, registered Jun 11, 2003 (317 days) · Other

Signals

J••••••• L••• S•••• left J••• M••••• S••••••••• L•• for A••••• A•• P••••••• S••••••• (registered 2026-08-11)
Jul 17, 2026 · Advisor changed firm · fact
J••••••• L••• S•••• left V••••••• A•••••••• I••• for J••• M••••• S••••••••• L•• (registered 2022-04-07)
Mar 23, 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address