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.

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Registered advisor

J•• R•••••• L••••••

M••••••BD affiliatedSarasota, Fldual registrantIAPD 5193874

Feed of 09/14/2026

At current firm

1 y

since Dec 16, 2024

In the industry

16 y

since Jan 25, 2010 (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

M•••••• BD affiliated current
since Dec 16, 2024 · Sarasota, Fl
O•••• F•• I••• former
Jan 8, 2019 to Dec 3, 2024 · Sarasota, Fl
C••••• A•••••• N••••••• L•• former
Nov 6, 2017 to Dec 27, 2018 · Sarasota, Fl
R••••••••• M•••• M••••••••• former
Apr 6, 2017 to Nov 16, 2022 · Sarasota, Fl
R••••••••• M•••• M••••••••• former
Nov 5, 2014 to Dec 31, 2016 · Sarasota, Fl
G••••• S••••••••• I••• former
Jun 20, 2014 to Nov 1, 2017 · Sarasota, Fl
O•••• F•• I••• former
Jun 6, 2011 to Jun 20, 2014 · Sarasota, Fl

Moves

a registration end followed by a registration begin elsewhere

O•••• F•• I••• to M••••••
left Dec 3, 2024, registered Dec 16, 2024 (13 days) · Affiliated broker-dealer or bank to another · moved with a team
R••••••••• M•••• M••••••••• to C••••• A•••••• N••••••• L••
left Nov 16, 2022, registered Nov 6, 2017 (-1836 days) · Other
C••••• A•••••• N••••••• L•• to O•••• F•• I•••
left Dec 27, 2018, registered Jan 8, 2019 (12 days) · Affiliated broker-dealer or bank to another
G••••• S••••••••• I••• to R••••••••• M•••• M•••••••••
left Nov 1, 2017, registered Nov 5, 2014 (-1092 days) · Other
O•••• F•• I••• to G••••• S••••••••• I•••
left Jun 20, 2014, registered Jun 20, 2014 (0 days) · Other

Signals

J•• R•••••• L•••••• left O•••• F•• I••• for Mariner (registered 2024-12-16)
Dec 3, 2024 · a•••••• firm change · fact
J•• R•••••• L•••••• left R••••••••• M•••• M••••••••• for C••••• A•••••• N••••••• L•• (registered 2017-11-06)
Nov 16, 2022 · a•••••• firm change · 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address