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

M••• J• R••••••

M•• I•••••••• S•••••••• L••BD affiliatedWarren, Njdual registrantIAPD 5146270

Feed of 09/14/2026

Also filed as M••• Joseph R••••••

At current firm

0 y

since Jan 27, 2026

In the industry

20 y

since Jul 5, 2006 (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

M•• I•••••••• S•••••••• L•• BD affiliated current
since Jan 27, 2026 · Warren, Nj
E••••• J•••• national BD
Jun 7, 2024 to Nov 6, 2025 · West Caldwell, Nj
E•••••••• A•••••••• L•• national BD
Feb 22, 2022 to Jun 11, 2024 · Saddle Brook, Nj
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 21, 2009 to Feb 1, 2022 · Fort Lee, Nj
M••••• S•••••• wirehouse
Jun 1, 2009 to Oct 7, 2009 · Paramus, Nj
M••••• S•••••• • C•• L•• unclassified
Aug 15, 2007 to Jun 1, 2009 · Paramus, Nj

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to M•• I•••••••• S•••••••• L••
left Nov 6, 2025, registered Jan 27, 2026 (82 days) · Affiliated broker-dealer or bank to another
E•••••••• A•••••••• L•• to E••••• J••••
left Jun 11, 2024, registered Jun 7, 2024 (-4 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••••• A•••••••• L••
left Feb 1, 2022, registered Feb 22, 2022 (21 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 7, 2009, registered Sep 21, 2009 (-16 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

Signals

M••• J• R•••••• left E••••• J•••• for M•• I•••••••• S•••••••• L•• (registered 2026-01-27)
Nov 6, 2025 · Advisor changed firm · fact
M••• J• R•••••• left E•••••••• A•••••••• L•• for E••••• J•••• (registered 2024-06-07)
Jun 11, 2024 · Advisor changed firm · fact
M••• J• R•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for E•••••••• A•••••••• L•• (registered 2022-02-22)
Feb 1, 2022 · 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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address