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• C••••

E••••• J••••national BDCarmel, Indual registrantIAPD 6091871

Certified Financial Planner

Feed of 09/14/2026

Also filed as J••••• Michael C••••

At current firm

2 y

since Dec 4, 2023

In the industry

14 y

since Aug 28, 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

E••••• J•••• national BD current
since Dec 4, 2023 · Carmel, In
S••••• W••••• A•••••••• I••• no RAUM
Jul 27, 2018 to Dec 15, 2023 · Indianapolis, In
C•••••• S••••• • C••• I••• national BD
Jul 27, 2018 to Jul 27, 2018 · Indianapolis, In
J••• M••••• S••••••••• L•• wirehouse
Feb 5, 2016 to Jul 11, 2018 · Greenwood, In
T• A••••••••• I••••••••• M••••••••• L•• former
Dec 4, 2013 to Jan 7, 2016 · Indianapolis, In
T• A••••••••• I••• former
Dec 4, 2013 to Jan 7, 2016 · Indianapolis, In
E••••• J•••• national BD
Aug 30, 2012 to Nov 21, 2013 · Maryland Heights, Mo

Moves

a registration end followed by a registration begin elsewhere

S••••• W••••• A•••••••• I••• to E••••• J••••
left Dec 15, 2023, registered Dec 4, 2023 (-11 days) · Other
C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••
left Jul 27, 2018, registered Jul 27, 2018 (0 days) · channel change inside one enterprise, not a move
J••• M••••• S••••••••• L•• to C•••••• S••••• • C••• I•••
left Jul 11, 2018, registered Jul 27, 2018 (16 days) · Wirehouse to affiliated broker-dealer or bank
T• A••••••••• I••••••••• M••••••••• L•• to J••• M••••• S••••••••• L••
left Jan 7, 2016, registered Feb 5, 2016 (29 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Jan 7, 2016, registered Dec 4, 2013 (-764 days) · channel change inside one enterprise, not a move
E••••• J•••• to T• A••••••••• I•••
left Nov 21, 2013, registered Dec 4, 2013 (13 days) · Other

Signals

J••••• M• C•••• left S••••• W••••• A•••••••• I••• for E••••• J•••• (registered 2023-12-04)
Dec 15, 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: National broker-dealer RIAderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address