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•••• J••••• M•••

L•• F•••••••• L••BD affiliatedFullerton, Cadual registrantIAPD 6028454

Feed of 09/14/2026

Also filed as Jj M•••

At current firm

1 y

since May 27, 2025

In the industry

13 y

since Oct 26, 2012 (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

L•• F•••••••• L•• BD affiliated current
since May 27, 2025 · Fullerton, Ca
U••• B•••••• I••••••••• I••• former
May 3, 2022 to Nov 20, 2024 · Placentia, Ca
B••••••• I••••••••• S•••••••• I••• ••••• former
Jan 28, 2019 to May 9, 2022 · Irvine, Ca
S•••••••• I••••••••• M••••••••• former
Sep 1, 2016 to Mar 8, 2018 · Saint Louis, Mo
W•••• F•••• A••••••• wirehouse
Nov 20, 2012 to Feb 6, 2014 · Mission Viejo, Ca

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to L•• F•••••••• L••
left Nov 20, 2024, registered May 27, 2025 (188 days) · Affiliated broker-dealer or bank to another
B••••••• I••••••••• S•••••••• I••• ••••• to U••• B•••••• I••••••••• I•••
left May 9, 2022, registered May 3, 2022 (-6 days) · Affiliated broker-dealer or bank to another
S•••••••• I••••••••• M••••••••• to B••••••• I••••••••• S•••••••• I••• •••••
left Mar 8, 2018, registered Jan 28, 2019 (326 days) · Affiliated broker-dealer or bank to another · moved with a team
W•••• F•••• A••••••• to S•••••••• I••••••••• M•••••••••
left Feb 6, 2014, registered Sep 1, 2016 (938 days) · Other

Signals

J•••• J••••• M••• left U••• B•••••• I••••••••• I••• for L•• F•••••••• L•• (registered 2025-05-27)
Nov 20, 2024 · Advisor changed firm · fact
J•••• J••••• M••• left B••••••• I••••••••• S•••••••• I••• ••••• for U••• B•••••• I••••••••• I••• (registered 2022-05-03)
May 9, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address