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••••• M•••••

C••••••••• F•••••••• N••••••national BDNorth Haven, Ctdual registrantIAPD 4906184

Feed of 09/14/2026

Also filed as J••••• R M•••••

At current firm

2 y

since Aug 23, 2024

In the industry

22 y

since Jan 1, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••••• F•••••••• N•••••• national BD current
since Aug 23, 2024 · North Haven, Ct
D••••••• W••••• M••••••••• independent RIA
May 29, 2024 to Jul 12, 2024 · Guilford, Ct
C••••••••• F•••••••• N•••••• national BD
Oct 18, 2023 to Apr 29, 2024 · North Haven, Ct
L•• F•••••••• L•• BD affiliated
Oct 22, 2014 to Oct 20, 2023 · North Haven, Ct

Moves

a registration end followed by a registration begin elsewhere

D••••••• W••••• M••••••••• to C••••••••• F•••••••• N••••••
left Jul 12, 2024, registered Aug 23, 2024 (42 days) · RIA to affiliated broker-dealer or bank
C••••••••• F•••••••• N•••••• to D••••••• W••••• M•••••••••
left Apr 29, 2024, registered May 29, 2024 (30 days) · Affiliated broker-dealer or bank to independent RIA
L•• F•••••••• L•• to C••••••••• F•••••••• N••••••
left Oct 20, 2023, registered Oct 18, 2023 (-2 days) · Affiliated broker-dealer or bank to another

Signals

J••••• M••••• left D••••••• W••••• M••••••••• for C••••••••• F•••••••• N•••••• (registered 2024-08-23)
Jul 12, 2024 · Advisor changed firm · fact
J••••• M••••• left C••••••••• F•••••••• N•••••• for D••••••• W••••• M••••••••• (registered 2024-05-29)
Apr 29, 2024 · Advisor changed firm · fact
J••••• M••••• left L•• F•••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2023-10-18)
Oct 20, 2023 · 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: National broker-dealer RIAderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address