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•••• M• M••••

A••••••• F••••••••• L•••BD affiliatedFolsom, Ca dual registrantIAPD 5785151

Certified Financial Planner

Feed of 09/15/2026

Also filed as Jim M M••••

At current firm

3 y

since Apr 26, 2023

In the industry

16 y

since Jul 2, 2010 (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

A••••••• F••••••••• L••• BD affiliated current
since Apr 26, 2023 · Lawrence, Ks
T•• W••• C•••••• A••••••• L•• institutional
Nov 7, 2019 to May 11, 2020 · Overland Park, Ks
A••••••• F•••••••• A••••••• former
Jan 16, 2014 to Aug 15, 2023 · Lawrence, Ks
C••••• A•••••• N••••••• L•• former
Jan 6, 2014 to Apr 20, 2023 · Lawrence, Ks
W•••• F•••• A••••••• wirehouse
Jul 5, 2010 to Jan 3, 2014 · Lawrence, Ks

Moves

a registration end followed by a registration begin elsewhere

A••••••• F•••••••• A••••••• to T•• W••• C•••••• A••••••• L••
left Aug 15, 2023, registered Nov 7, 2019 (-1377 days) · Other
C••••• A•••••• N••••••• L•• to A••••••• F•••••••• A•••••••
left Apr 20, 2023, registered Jan 16, 2014 (-3381 days) · Other
T•• W••• C•••••• A••••••• L•• to A••••••• F••••••••• L•••
left May 11, 2020, registered Apr 26, 2023 (1080 days) · Other
W•••• F•••• A••••••• to C••••• A•••••• N••••••• L••
left Jan 3, 2014, registered Jan 6, 2014 (3 days) · Other

Signals

J•••• M• M•••• left A••••••• F•••••••• A••••••• for T•• W••• C•••••• A••••••• L•• (registered 2019-11-07)
Aug 15, 2023 · a•••••• firm change · fact
J•••• M• M•••• left C••••• A•••••• N••••••• L•• for A••••••• F•••••••• A••••••• (registered 2014-01-16)
Apr 20, 2023 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address