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.

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Registered advisor

M•••••• J•••• S•••••

C••••• I••••••••• A••••••• L••BD affiliatedVilla Park, Il dual registrantIAPD 4813374

Feed of 09/14/2026

Also filed as M•••••• J•••• S•••••T

At current firm

3 y

since Jun 29, 2023

In the industry

22 y

since Sep 17, 2004 (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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Jun 29, 2023 · Villa Park, Il
W••••• S••••• S••••••••• I••• former
Sep 18, 2009 to Sep 3, 2013 · Villa Park, Il
W•••• F•••• A••••••• wirehouse
Jan 1, 2008 to Sep 21, 2009 · Naperville, Il
A• G• E•••••• • S•••• I••• unclassified
Sep 20, 2004 to Jan 1, 2008 · Naperville, Il

Moves

a registration end followed by a registration begin elsewhere

W••••• S••••• S••••••••• I••• to C••••• I••••••••• A••••••• L••
left Sep 3, 2013, registered Jun 29, 2023 (3586 days) · Other
W•••• F•••• A••••••• to W••••• S••••• S••••••••• I•••
left Sep 21, 2009, registered Sep 18, 2009 (-3 days) · Other
A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move

Signals

M•••••• J•••• S••••• no longer holds an investment adviser registration (last listed at C••••• I••••••••• A••••••• L•• on the 2026-09-14 feed)
Sep 14, 2026 · Advisor registration ended · derived

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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address