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

R•••••• J••• M•••••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedMorristown, Njdual registrantIAPD 5645851

Feed of 09/14/2026

Also filed as R•••••• J••• M•••••

At current firm

1 y

since Feb 27, 2025

In the industry

17 y

since Jun 19, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
since Feb 27, 2025 · Morristown, Nj
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 7, 2021 to Dec 17, 2024 · Summit, Nj
H••• S••••••••• •••• I••• BD affiliated
Jan 17, 2017 to Jan 25, 2021 · Florham Park, Nj
T• A••••••••• I••• former
Aug 2, 2013 to Oct 4, 2016 · New York, Ny
T• A••••••••• I••••••••• M••••••••• L•• former
Jul 26, 2013 to Oct 4, 2016 · Piscataway, Nj
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 6, 2010 to Jun 20, 2013 · Pennington, Nj

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Dec 17, 2024, registered Feb 27, 2025 (72 days) · Wirehouse to affiliated broker-dealer or bank
H••• S••••••••• •••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jan 25, 2021, registered Jan 7, 2021 (-18 days) · Affiliated broker-dealer or bank to wirehouse
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Oct 4, 2016, registered Aug 2, 2013 (-1159 days) · channel change inside one enterprise, not a move · moved with a team
T• A••••••••• I••• to H••• S••••••••• •••• I•••
left Oct 4, 2016, registered Jan 17, 2017 (105 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Jun 20, 2013, registered Jul 26, 2013 (36 days) · Other

Signals

R•••••• J••• M••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2025-02-27)
Dec 17, 2024 · 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address