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

M•••••• J••••• S•••••

C••• L••BD affiliatedOmaha, Ne IA-onlyIAPD 5229730

Feed of 09/15/2026

Also filed as M•••••• S•••••

At current firm

1 y

since Jan 1, 2025

In the industry

15 y

since Nov 29, 2010 (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

C••• L•• BD affiliated current
since Jan 1, 2025 · Omaha, Ne
N••••••••• M••••• I••••••••• S••••••••• no RAUM
May 16, 2018 to Apr 20, 2022 · Tampa, Fl
U••• F•••••••• P••••••• S••••••• former
Jul 20, 2017 to Sep 19, 2017 · Tampa, Fl
C•••• C••••••• L•• former
Feb 24, 2015 to Oct 30, 2015 · Glen Ellyn, Il
G••• H••••• F•••••••• former
Mar 28, 2014 to Jan 2, 2015 · Barrington, Il
I•••••• A•••••••• I••• asset manager
Aug 24, 2011 to Nov 18, 2013 · Atlanta, Ga

Moves

a registration end followed by a registration begin elsewhere

N••••••••• M••••• I••••••••• S••••••••• to C••• L••
left Apr 20, 2022, registered Jan 1, 2025 (987 days) · Other
U••• F•••••••• P••••••• S••••••• to N••••••••• M••••• I••••••••• S•••••••••
left Sep 19, 2017, registered May 16, 2018 (239 days) · Other
C•••• C••••••• L•• to U••• F•••••••• P••••••• S•••••••
left Oct 30, 2015, registered Jul 20, 2017 (629 days) · Other
G••• H••••• F•••••••• to C•••• C••••••• L••
left Jan 2, 2015, registered Feb 24, 2015 (53 days) · Other · moved with a team
I•••••• A•••••••• I••• to G••• H••••• F••••••••
left Nov 18, 2013, registered Mar 28, 2014 (130 days) · Other

Signals

M•••••• J••••• S••••• left N••••••••• M••••• I••••••••• S••••••••• for C••• L•• (registered 2025-01-01)
Apr 20, 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: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address