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••••• E••••

N••••••••• M••••• I••••••••• S•••••••••no RAUMWest Seneca, Nydual registrantIAPD 6057308

Feed of 09/14/2026

Also filed as J••••• E••••

At current firm

0 y

since Oct 1, 2025

In the industry

14 y

since Jun 15, 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

N••••••••• M••••• I••••••••• S••••••••• no RAUM current
since Oct 1, 2025 · West Seneca, Ny
K••••• A••••••• S•••••••• L•• BD affiliated
Feb 24, 2025 to Sep 15, 2025 · Williamsville, Ny
A•••••• A••••••• S••••••• former
Jul 13, 2023 to Feb 11, 2025 · Dallas, Tx
C••••••• S••••••••• I••• BD affiliated
Aug 27, 2020 to Jul 7, 2023 · Buffalo, Ny
P•••• S••••••••• L•• no RAUM
Feb 13, 2020 to Aug 25, 2020 · Las Vegas, Nv
J••• M••••• S••••••••• L•• wirehouse
Mar 6, 2014 to Sep 13, 2019 · Henderson, Nv
W•••• F•••• A••••••• wirehouse
Jun 28, 2013 to Nov 21, 2013 · Henderson, Nv
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 18, 2012 to May 31, 2013 · Las Vegas, Nv

Moves

a registration end followed by a registration begin elsewhere

K••••• A••••••• S•••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••
left Sep 15, 2025, registered Oct 1, 2025 (16 days) · Other
A•••••• A••••••• S••••••• to K••••• A••••••• S•••••••• L••
left Feb 11, 2025, registered Feb 24, 2025 (13 days) · Affiliated broker-dealer or bank to another
C••••••• S••••••••• I••• to A•••••• A••••••• S•••••••
left Jul 7, 2023, registered Jul 13, 2023 (6 days) · Affiliated broker-dealer or bank to another
P•••• S••••••••• L•• to C••••••• S••••••••• I•••
left Aug 25, 2020, registered Aug 27, 2020 (2 days) · Affiliated broker-dealer or bank to another
J••• M••••• S••••••••• L•• to P•••• S••••••••• L••
left Sep 13, 2019, registered Feb 13, 2020 (153 days) · Wirehouse to affiliated broker-dealer or bank
W•••• F•••• A••••••• to J••• M••••• S••••••••• L••
left Nov 21, 2013, registered Mar 6, 2014 (105 days) · Wirehouse to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
left May 31, 2013, registered Jun 28, 2013 (28 days) · Wirehouse to wirehouse

Signals

J••••• E•••• left K••••• A••••••• S•••••••• L•• for N••••••••• M••••• I••••••••• S••••••••• (registered 2025-10-01)
Sep 15, 2025 · Advisor changed firm · fact
J••••• E•••• left A•••••• A••••••• S••••••• for K••••• A••••••• S•••••••• L•• (registered 2025-02-24)
Feb 11, 2025 · Advisor changed firm · fact
J••••• E•••• left C••••••• S••••••••• I••• for A•••••• A••••••• S••••••• (registered 2023-07-13)
Jul 7, 2023 · 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: No RAUM reportedderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address