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• H•••••••

C••••• I••••••••• A••••••• L••BD affiliatedPapillion, Nedual registrantIAPD 5475462

Feed of 09/14/2026

Also filed as M•••• Jo Ecis

At current firm

2 y

since Jul 26, 2024

In the industry

18 y

since Jan 1, 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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Jul 26, 2024 · Papillion, Ne
P•••••• C••••• S•••••••• L•• BD affiliated
Jan 18, 2024 to Jul 15, 2024 · Louisville, Ky
C••• L•• BD affiliated
Nov 22, 2022 to Jan 8, 2024 · Omaha, Ne
G•••• P•••• A•••••••• L•• former
Jun 21, 2022 to Sep 7, 2022 · Rockville, Md
S••••••••• A•••••• A•••••••• I••• former
Apr 13, 2017 to Jun 6, 2022 · La Vista, Ne

Moves

a registration end followed by a registration begin elsewhere

P•••••• C••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••
left Jul 15, 2024, registered Jul 26, 2024 (11 days) · Affiliated broker-dealer or bank to another
C••• L•• to P•••••• C••••• S•••••••• L••
left Jan 8, 2024, registered Jan 18, 2024 (10 days) · Affiliated broker-dealer or bank to another
G•••• P•••• A•••••••• L•• to C••• L••
left Sep 7, 2022, registered Nov 22, 2022 (76 days) · Affiliated broker-dealer or bank to another
S••••••••• A•••••• A•••••••• I••• to G•••• P•••• A•••••••• L••
left Jun 6, 2022, registered Jun 21, 2022 (15 days) · Affiliated broker-dealer or bank to another

Signals

M•••• J• H••••••• left P•••••• C••••• S•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2024-07-26)
Jul 15, 2024 · Advisor changed firm · fact
M•••• J• H••••••• left C••• L•• for P•••••• C••••• S•••••••• L•• (registered 2024-01-18)
Jan 8, 2024 · Advisor changed firm · fact
M•••• J• H••••••• left G•••• P•••• A•••••••• L•• for C••• L•• (registered 2022-11-22)
Sep 7, 2022 · Advisor changed firm · fact
M•••• J• H••••••• left S••••••••• A•••••• A•••••••• I••• for G•••• P•••• A•••••••• L•• (registered 2022-06-21)
Jun 6, 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address