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•••••••

U••• B•••••• A•••••••• L••BD affiliatedLouisville, Ky dual registrantIAPD 6212857

Feed of 09/15/2026

Also filed as J••• J M•••••••

At current firm

0 y

since Feb 13, 2026

In the industry

13 y

since Aug 20, 2013 (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

U••• B•••••• A•••••••• L•• BD affiliated current
since Feb 13, 2026 · Louisville, Ky
U••• B•••••• I••••••••• I••• former
Dec 6, 2023 to Feb 13, 2026 · Saint Paul, Mn
A••••••••• F•••••••• S•••••••• L•• national BD
Sep 8, 2021 to Dec 12, 2023 · Louisville, Ky
W••••••• C••••••••• independent RIA
May 11, 2021 to Jul 20, 2021 · Louisville, Ky
T•• A•••••••• I••• BD affiliated
Jun 22, 2020 to Sep 9, 2020 · Louisville, Ky
P•• W••••• M••••••••• BD affiliated
Dec 11, 2018 to Jan 2, 2020 · Louisville, Ky
P•••• S••••••••• L•• no RAUM
Apr 27, 2017 to Dec 5, 2018 · Columbus, Oh
J••• M••••• S••••••••• L•• wirehouse
Dec 2, 2014 to Apr 5, 2017 · Louisville, Ky
M••••• S•••••• wirehouse
Aug 20, 2013 to Nov 17, 2014 · Louisville, Ky

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••
left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
A••••••••• F•••••••• S•••••••• L•• to U••• B•••••• I••••••••• I•••
left Dec 12, 2023, registered Dec 6, 2023 (-6 days) · Affiliated broker-dealer or bank to another
W••••••• C••••••••• to A••••••••• F•••••••• S•••••••• L••
left Jul 20, 2021, registered Sep 8, 2021 (50 days) · RIA to affiliated broker-dealer or bank
T•• A•••••••• I••• to W••••••• C•••••••••
left Sep 9, 2020, registered May 11, 2021 (244 days) · Affiliated broker-dealer or bank to independent RIA
P•• W••••• M••••••••• to T•• A•••••••• I•••
left Jan 2, 2020, registered Jun 22, 2020 (172 days) · Affiliated broker-dealer or bank to another
P•••• S••••••••• L•• to P•• W••••• M•••••••••
left Dec 5, 2018, registered Dec 11, 2018 (6 days) · Affiliated broker-dealer or bank to another
J••• M••••• S••••••••• L•• to P•••• S••••••••• L••
left Apr 5, 2017, registered Apr 27, 2017 (22 days) · Other
M••••• S•••••• to J••• M••••• S••••••••• L••
left Nov 17, 2014, registered Dec 2, 2014 (15 days) · Wirehouse to wirehouse

Signals

J••• J••••• M••••••• left A••••••••• F•••••••• S•••••••• L•• for U••• B•••••• I••••••••• I••• (registered 2023-12-06)
Dec 12, 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: 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