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

J••••••• L••• M•••••••

U•• F•••••••• S••••••• I•••wirehouseLouisville, Kydual registrantIAPD 5654298

Feed of 09/14/2026

Also filed as J••••••• L Ott

At current firm

0 y

since Apr 30, 2026

In the industry

14 y

since Sep 26, 2011 (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

U•• F•••••••• S••••••• I••• wirehouse current
since Apr 30, 2026 · Louisville, Ky
R•••••••• A•••••• S••••••• unclassified
Nov 26, 2024 to Nov 13, 2025 · Louisville, Ky
W•••• F•••• A••••••• wirehouse
Aug 11, 2022 to May 22, 2024 · Lexington, Ky
R•••••• J•••• • A••••••••• I••• national BD
Jan 7, 2022 to Jun 3, 2022 · Louisville, Ky
W•••• F•••• A••••••• wirehouse
Aug 14, 2018 to Nov 29, 2021 · Louisville, Ky
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 17, 2016 to Aug 3, 2018 · Louisville, Ky
J••••• H•••••••• W••• L••••• L•• former
Dec 5, 2013 to Feb 18, 2016 · Louisville, Ky

Moves

a registration end followed by a registration begin elsewhere

R•••••••• A•••••• S••••••• to U•• F•••••••• S••••••• I•••
left Nov 13, 2025, registered Apr 30, 2026 (168 days) · Other
W•••• F•••• A••••••• to R•••••••• A•••••• S•••••••
left May 22, 2024, registered Nov 26, 2024 (188 days) · Other
R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••
left Jun 3, 2022, registered Aug 11, 2022 (69 days) · Affiliated broker-dealer or bank to wirehouse
W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••
left Nov 29, 2021, registered Jan 7, 2022 (39 days) · Wirehouse to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
left Aug 3, 2018, registered Aug 14, 2018 (11 days) · Wirehouse to wirehouse
J••••• H•••••••• W••• L••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Feb 18, 2016, registered Mar 17, 2016 (28 days) · Other

Signals

J••••••• L••• M••••••• left R•••••••• A•••••• S••••••• for U•• F•••••••• S••••••• I••• (registered 2026-04-30)
Nov 13, 2025 · a•••••• firm change · fact
J••••••• L••• M••••••• left W•••• F•••• A••••••• for R•••••••• A•••••• S••••••• (registered 2024-11-26)
May 22, 2024 · a•••••• firm change · fact
J••••••• L••• M••••••• left R•••••• J•••• • A••••••••• I••• for W•••• F•••• A••••••• (registered 2022-08-11)
Jun 3, 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: Wirehousederived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address