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

L•••••• M••••••• R•••••

E••••• J••••national BDMadison, Widual registrantIAPD 4987416

Feed of 09/14/2026

Also filed as L•••••• R•••••

At current firm

2 y

since Jun 21, 2024

In the industry

18 y

since Apr 11, 2008 (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

E••••• J•••• national BD current
since Jun 21, 2024 · Madison, Wi
M••••• S•••••• wirehouse
Oct 2, 2023 to Jun 17, 2024 · Middleton, Wi
U••• B•••••• I••••••••• I••• former
Apr 27, 2023 to Sep 21, 2023 · Madison, Wi
L•• F•••••••• L•• BD affiliated
Aug 24, 2022 to Apr 28, 2023 · Madison, Wi
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Dec 5, 2012 · Madison, Wi
C•••• I••••••••• S••••••• C•••• former
Feb 23, 2012 to Oct 1, 2012 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to E••••• J••••
left Jun 17, 2024, registered Jun 21, 2024 (4 days) · Wirehouse to affiliated broker-dealer or bank
U••• B•••••• I••••••••• I••• to M••••• S••••••
left Sep 21, 2023, registered Oct 2, 2023 (11 days) · Affiliated broker-dealer or bank to wirehouse
L•• F•••••••• L•• to U••• B•••••• I••••••••• I•••
left Apr 28, 2023, registered Apr 27, 2023 (-1 days) · Affiliated broker-dealer or bank to another
J••• M••••• S••••••••• L•• to L•• F•••••••• L••
left Dec 5, 2012, registered Aug 24, 2022 (3549 days) · Wirehouse to independent RIA
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move

Signals

L•••••• M••••••• R••••• left M••••• S•••••• for E••••• J•••• (registered 2024-06-21)
Jun 17, 2024 · Advisor changed firm · fact
L•••••• M••••••• R••••• left U••• B•••••• I••••••••• I••• for M••••• S•••••• (registered 2023-10-02)
Sep 21, 2023 · Advisor changed firm · fact
L•••••• M••••••• R••••• left L•• F•••••••• L•• for U••• B•••••• I••••••••• I••• (registered 2023-04-27)
Apr 28, 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address