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

M••••• C••••••

J••• M••••• S••••••••• L••wirehouseRidgefield, Nj dual registrantIAPD 6015227

Feed of 09/15/2026

At current firm

1 y

since Feb 5, 2025

In the industry

14 y

since Mar 22, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

J••• M••••• S••••••••• L•• wirehouse current
since Feb 5, 2025 · West New York, Nj
C•••••••• G••••• M•••••• I••• BD affiliated
Mar 1, 2022 to Feb 11, 2025 · Fort Mill, Sc
C••••• I••••••••• A••••••• L•• BD affiliated
Jan 23, 2018 to Feb 25, 2022 · Newark, Nj
S•••••••• S••••••••• BD affiliated
Jul 1, 2016 to Jan 23, 2018 · Scotch Plains, Nj

Moves

a registration end followed by a registration begin elsewhere

C•••••••• G••••• M•••••• I••• to J••• M••••• S••••••••• L••
left Feb 11, 2025, registered Feb 5, 2025 (-6 days) · Affiliated broker-dealer or bank to wirehouse
C••••• I••••••••• A••••••• L•• to C•••••••• G••••• M•••••• I•••
left Feb 25, 2022, registered Mar 1, 2022 (4 days) · Affiliated broker-dealer or bank to another
S•••••••• S••••••••• to C••••• I••••••••• A••••••• L••
left Jan 23, 2018, registered Jan 23, 2018 (0 days) · Other · moved with a team

Signals

M••••• C•••••• left C•••••••• G••••• M•••••• I••• for J••• M••••• S••••••••• L•• (registered 2025-02-05)
Feb 11, 2025 · Advisor changed firm · fact
M••••• C•••••• left C••••• I••••••••• A••••••• L•• for C•••••••• G••••• M•••••• I••• (registered 2022-03-01)
Feb 25, 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: Wirehousederived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address