DFX Intelligence
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Registered advisor
J•••• M•••••• N•••••
Feed of 09/15/2026
Also filed as J•••• N•••••••• M•••••• N••••••••• N•••••
At current firm
18 y
since Feb 12, 2008
In the industry
19 y
since Jan 19, 2007 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
2
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• A••••••• BD affiliated currentsince Dec 4, 2015 · Greenville, Nc
- L•••••• I••••••••• independent RIA currentsince Feb 12, 2008 · Greenville, Nc
- E••••• J•••• national BDJan 23, 2007 to May 15, 2007 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to L•••••• I•••••••••left May 15, 2007, registered Feb 12, 2008 (273 days) · Other
Signals
No dated event on this person.
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address