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••••• G••••

S•••••••• W••••• I••••••••• G••••• L••independent RIALouisville, Ky IA-onlyIAPD 4980590

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/14/2026

Also filed as J••• G••••

At current firm

2 y

since Jun 20, 2024

In the industry

21 y

since Jul 25, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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

S•••••••• W••••• I••••••••• G••••• L•• independent RIA current
since Jun 20, 2024 · Louisville, Ky
9••• W••••• M••••••••• L•• former
May 16, 2023 to Jun 14, 2024 · Blue Ash, Oh
M•• I•••••••• S•••••••• L•• BD affiliated
Jan 24, 2023 to May 10, 2023 · Cincinnati, Oh
H•••••• F•••••••• A•••••••• L•• independent RIA
Jun 9, 2021 to Jan 24, 2023 · West Chester, Oh
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Apr 23, 2015 to May 4, 2015 · West Chester, Oh
S•••••••• A••••••• L•• national BD
Jan 6, 2011 to Mar 31, 2015 · Covington, Ky

Moves

a registration end followed by a registration begin elsewhere

9••• W••••• M••••••••• L•• to S•••••••• W••••• I••••••••• G••••• L••
left Jun 14, 2024, registered Jun 20, 2024 (6 days) · RIA to RIA
M•• I•••••••• S•••••••• L•• to 9••• W••••• M••••••••• L••
left May 10, 2023, registered May 16, 2023 (6 days) · Affiliated broker-dealer or bank to independent RIA
H•••••• F•••••••• A•••••••• L•• to M•• I•••••••• S•••••••• L••
left Jan 24, 2023, registered Jan 24, 2023 (0 days) · RIA to affiliated broker-dealer or bank
N••••••••• M••••• I••••••••• S••••••••• to H•••••• F•••••••• A•••••••• L••
left May 4, 2015, registered Jun 9, 2021 (2228 days) · Other
S•••••••• A••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••
left Mar 31, 2015, registered Apr 23, 2015 (23 days) · Other

Signals

J••• M••••• G•••• left 9••• W••••• M••••••••• L•• for S•••••••• W••••• I••••••••• G••••• L•• (registered 2024-06-20)
Jun 14, 2024 · Advisor changed firm · fact
J••• M••••• G•••• left M•• I•••••••• S•••••••• L•• for 9••• W••••• M••••••••• L•• (registered 2023-05-16)
May 10, 2023 · Advisor changed firm · fact
J••• M••••• G•••• left H•••••• F•••••••• A•••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2023-01-24)
Jan 24, 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: Independent wealth managerderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address