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•••• C•••

M•• I•••••••• S•••••••• L••BD affiliatedSpringfield, Ma dual registrantIAPD 6175566

Chartered Financial Consultant

Feed of 09/14/2026

Also filed as J•••• C•••

At current firm

1 y

since Jun 6, 2025

In the industry

10 y

since Nov 28, 2015 (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

M•• I•••••••• S•••••••• L•• BD affiliated current
since Jun 6, 2025 · Springfield, Ma
S•••••••• A••••••• L•• national BD
Mar 31, 2025 to May 29, 2025 · Somerdale, Nj
F••••••• P••••••• A•• W•••••••• A••••••• former
May 15, 2024 to Mar 31, 2025 · Princeton, Nj
P••• A••••• S••••••••• L•• BD affiliated
Apr 30, 2020 to May 7, 2024 · New York, Ny
J••• M••••• S••••••••• L•• wirehouse
Aug 29, 2018 to Apr 28, 2020 · Brooklyn, Ny
O••••••••• • C•• I••• BD affiliated
Apr 27, 2016 to Jul 27, 2018 · New York, Ny
E•••• S••••••••• L•• BD affiliated
Jan 25, 2016 to Apr 12, 2016 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

S•••••••• A••••••• L•• to M•• I•••••••• S•••••••• L••
left May 29, 2025, registered Jun 6, 2025 (8 days) · Affiliated broker-dealer or bank to another
F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
P••• A••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left May 7, 2024, registered May 15, 2024 (8 days) · Affiliated broker-dealer or bank to another
J••• M••••• S••••••••• L•• to P••• A••••• S••••••••• L••
left Apr 28, 2020, registered Apr 30, 2020 (2 days) · Wirehouse to affiliated broker-dealer or bank
O••••••••• • C•• I••• to J••• M••••• S••••••••• L••
left Jul 27, 2018, registered Aug 29, 2018 (33 days) · Affiliated broker-dealer or bank to wirehouse
E•••• S••••••••• L•• to O••••••••• • C•• I•••
left Apr 12, 2016, registered Apr 27, 2016 (15 days) · Other

Signals

J•••• C••• left S•••••••• A••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2025-06-06)
May 29, 2025 · Advisor changed firm · fact
J•••• C••• left P••• A••••• S••••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-05-15)
May 7, 2024 · 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address