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••••• I• M••••••

M•• I•••••••• S•••••••• L••BD affiliatedSpringfield, Ma dual registrantIAPD 4941047

Feed of 09/15/2026

Also filed as Josh M••••••

At current firm

0 y

since Dec 5, 2025

In the industry

18 y

since Oct 24, 2007 (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

M•• I•••••••• S•••••••• L•• BD affiliated current
since Dec 5, 2025 · Florham Park, Nj
L•••••• I••••••••• independent RIA
Apr 27, 2023 to Nov 19, 2025 · Fort Washington, Pa
A••••••••• F•••••••• S•••••••• L•• national BD
Nov 8, 2011 to Apr 27, 2023 · Florham Park, Nj
M•• F•••••••• S•••••••• I••• former
Feb 22, 2010 to Sep 9, 2010 · Morristown, Nj
R•• C•••••• M••••••• L•• national BD
Jun 13, 2008 to Jan 27, 2010 · Florham Park, Nj

Moves

a registration end followed by a registration begin elsewhere

L•••••• I••••••••• to M•• I•••••••• S•••••••• L••
left Nov 19, 2025, registered Dec 5, 2025 (16 days) · RIA to affiliated broker-dealer or bank
A••••••••• F•••••••• S•••••••• L•• to L•••••• I•••••••••
left Apr 27, 2023, registered Apr 27, 2023 (0 days) · Affiliated broker-dealer or bank to independent RIA
M•• F•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Sep 9, 2010, registered Nov 8, 2011 (425 days) · Other
R•• C•••••• M••••••• L•• to M•• F•••••••• S•••••••• I•••
left Jan 27, 2010, registered Feb 22, 2010 (26 days) · Other

Signals

J••••• I• M•••••• left L•••••• I••••••••• for M•• I•••••••• S•••••••• L•• (registered 2025-12-05)
Nov 19, 2025 · Advisor changed firm · fact
J••••• I• M•••••• left A••••••••• F•••••••• S•••••••• L•• for L•••••• I••••••••• (registered 2023-04-27)
Apr 27, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address