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•••• N••••• C••••••

L•• F•••••••• L••BD affiliatedGreensboro, Ncdual registrantIAPD 6615642

Feed of 09/14/2026

Also filed as J•••••• M•••• N•••••

At current firm

1 y

since Apr 16, 2025

In the industry

10 y

since Feb 1, 2016 (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

L•• F•••••••• L•• BD affiliated current
since Apr 16, 2025 · Greensboro, Nc
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 29, 2023 to May 2, 2025 · Greensboro, Nc
C••••• A•••••• N••••••• L•• former
May 20, 2021 to Jun 29, 2023 · Greensboro, Nc
S••••• F•••••••• G•••• I•• former
Nov 27, 2019 to May 20, 2021 · Greensboro, Nc
I••••••••• A•••••• A•••••••• L•• i••••••••• wealth
Feb 1, 2018 to Nov 27, 2019 · Greensboro, Nc
L•• F•••••••• L•• BD affiliated
Jan 22, 2018 to Dec 2, 2019 · Greensboro, Nc
E••••• J•••• national BD
Jun 10, 2016 to Jan 23, 2018 · St. Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••
left May 2, 2025, registered Apr 16, 2025 (-16 days) · Affiliated broker-dealer or bank to another
C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••
left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
S••••• F•••••••• G•••• I•• to C••••• A•••••• N••••••• L••
left May 20, 2021, registered May 20, 2021 (0 days) · channel change inside one enterprise, not a move · moved with a team
L•• F•••••••• L•• to I••••••••• A•••••• A•••••••• L••
left Dec 2, 2019, registered Feb 1, 2018 (-669 days) · Other
I••••••••• A•••••• A•••••••• L•• to S••••• F•••••••• G•••• I••
left Nov 27, 2019, registered Nov 27, 2019 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
E••••• J•••• to L•• F•••••••• L••
left Jan 23, 2018, registered Jan 22, 2018 (-1 days) · Affiliated broker-dealer or bank to independent RIA

Signals

J•••••• M•••• N••••• C•••••• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2025-04-16)
May 2, 2025 · a•••••• firm change · 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