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

D•••• J••••• M•••••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehousePepper Pike, Oh dual registrantIAPD 5761400

Feed of 09/14/2026

Also filed as D•••• M•••••

At current firm

1 y

since Mar 26, 2025

In the industry

15 y

since Jul 19, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
since Mar 26, 2025 · Vienna, Va
F••••••• P••••••• A•• W•••••••• A••••••• former
Mar 10, 2021 to Mar 31, 2025 · Westlake, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 1, 2020 to Jan 21, 2021 · Chicago, Il
E•••••• C•••••• M••••••••• L•• former
Jul 11, 2018 to Jul 24, 2020 · Chicago, Il
V•••• F•••••••• A•••••••• I••• BD affiliated
Mar 5, 2018 to Jul 13, 2018 · Chicago, Il
J••• M••••• S••••••••• L•• wirehouse
Nov 29, 2017 to Mar 13, 2018 · Glencoe, Il
B••••••• I••••••••• S•••••••• I••• ••••• former
Jul 25, 2016 to Sep 1, 2017 · San Ramon, Ca
W•••• F•••• A••••••• wirehouse
Aug 21, 2014 to Dec 23, 2014 · Rye Brook, Ny
W•••• F•••• A••••••• wirehouse
Aug 8, 2011 to Sep 7, 2012 · Farmington Hills, Mi

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Mar 31, 2025, registered Mar 26, 2025 (-5 days) · Affiliated broker-dealer or bank to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jan 21, 2021, registered Mar 10, 2021 (48 days) · Wirehouse to affiliated broker-dealer or bank
E•••••• C•••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jul 24, 2020, registered Sep 1, 2020 (39 days) · RIA to wirehouse
V•••• F•••••••• A•••••••• I••• to E•••••• C•••••• M••••••••• L••
left Jul 13, 2018, registered Jul 11, 2018 (-2 days) · Affiliated broker-dealer or bank to independent RIA
J••• M••••• S••••••••• L•• to V•••• F•••••••• A•••••••• I•••
left Mar 13, 2018, registered Mar 5, 2018 (-8 days) · Other
B••••••• I••••••••• S•••••••• I••• ••••• to J••• M••••• S••••••••• L••
left Sep 1, 2017, registered Nov 29, 2017 (89 days) · Other · moved with a team
W•••• F•••• A••••••• to B••••••• I••••••••• S•••••••• I••• •••••
left Dec 23, 2014, registered Jul 25, 2016 (580 days) · Other

Signals

D•••• J••••• M••••• left F••••••• P••••••• A•• W•••••••• A••••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2025-03-26)
Mar 31, 2025 · 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: Wirehousederived
Years in industry: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address