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

A••••• M• J••••••

C••••••• P•••••••independent RIAPhoenix, Az IA-onlyIAPD 6315508

Feed of 09/15/2026

Also filed as A••••• J••••••

At current firm

2 y

since Sep 27, 2023

In the industry

12 y

since Jun 11, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••• P••••••• independent RIA current
since Sep 27, 2023 · Overland Park, Ks
E•••••• C•••••• M••••••••• L•• former
Jun 9, 2022 to Aug 14, 2023 · Gilbert, Az
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 13, 2018 to May 17, 2022 · Boston, Ma
S•••••••• A••••••• L•• national BD
Nov 17, 2017 to Jul 13, 2018 · Chandler, Az

Moves

a registration end followed by a registration begin elsewhere

E•••••• C•••••• M••••••••• L•• to C••••••• P•••••••
left Aug 14, 2023, registered Sep 27, 2023 (44 days) · RIA to RIA
F••••••• P••••••• A•• W•••••••• A••••••• to E•••••• C•••••• M••••••••• L••
left May 17, 2022, registered Jun 9, 2022 (23 days) · Affiliated broker-dealer or bank to independent RIA
S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move

Signals

A••••• M• J•••••• left E•••••• C•••••• M••••••••• L•• for C••••••• P••••••• (registered 2023-09-27)
Aug 14, 2023 · Advisor changed firm · fact
A••••• M• J•••••• left F••••••• P••••••• A•• W•••••••• A••••••• for E•••••• C•••••• M••••••••• L•• (registered 2022-06-09)
May 17, 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: Independent wealth managerderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address