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•••••• L•••••••••

R•••••• J•••• • A••••••••• I•••national BDLake Oswego, Or dual registrantIAPD 4975357

Feed of 09/15/2026

Also filed as J••••• L•••••••••

At current firm

1 y

since May 22, 2025

In the industry

20 y

since Jun 21, 2006 (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

R•••••• J•••• • A••••••••• I••• national BD current
since May 22, 2025 · Lake Oswego, Or
J••• M••••• S••••••••• L•• wirehouse
Oct 10, 2023 to May 21, 2024 · Portland, Or
M••••• S•••••• wirehouse
Jul 2, 2018 to Nov 1, 2021 · Portland, Or
M••••• S•••••• wirehouse
Jun 1, 2009 to Nov 16, 2012 · Lake Oswego, Or
M••••• S•••••• • C•• L•• unclassified
Nov 14, 2008 to Jun 1, 2009 · Lake Oswego, Or
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 13, 2006 to Nov 18, 2008 · Lake Oswego, Or

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to R•••••• J•••• • A••••••••• I•••
left May 21, 2024, registered May 22, 2025 (366 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• to J••• M••••• S••••••••• L••
left Nov 1, 2021, registered Oct 10, 2023 (708 days) · Wirehouse to wirehouse
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••
left Nov 18, 2008, registered Nov 14, 2008 (-4 days) · Other

Signals

J••••• M•••••• L••••••••• left J••• M••••• S••••••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2025-05-22)
May 21, 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: National broker-dealer RIAderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address