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.
Feed of 09/14/2026
Also filed as Jacob Millen
At current firm
3 y
since Oct 25, 2022
In the industry
15 y
since Jul 1, 2011 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Valor Investments And Planning LLC former currentsince Oct 25, 2022 · Easton, Pa
- Osaic Wealth, Inc. BD affiliatedNov 2, 2018 to Oct 27, 2022 · Easton, Pa
- Signator Investors, Inc. formerNov 9, 2017 to Nov 2, 2018 · Easton, Pa
- MML Investors Services, LLC BD affiliatedMar 25, 2017 to Nov 14, 2017 · Allentown, Pa
- Msi Financial Services, Inc. formerMay 6, 2015 to Mar 25, 2017 · Allentown, Pa
Moves
a registration end followed by a registration begin elsewhere
- Osaic Wealth, Inc. to Valor Investments And Planning LLCleft Oct 27, 2022, registered Oct 25, 2022 (-2 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- Signator Investors, Inc. to Osaic Wealth, Inc.left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- MML Investors Services, LLC to Signator Investors, Inc.left Nov 14, 2017, registered Nov 9, 2017 (-5 days) · Other · moved with a team
- Msi Financial Services, Inc. to MML Investors Services, LLCleft Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
Signals
- Jacob Millen left Osaic Wealth, Inc. for Valor Investments And Planning Llc (registered 2022-10-25)Oct 27, 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
- Former SEC-registered adviserderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address