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••••• N••••••• M••••••••

R••• F•••••••• P•••••••independent RIAAustin, Tx IA-onlyIAPD 6630724

Certified Financial Planner

Feed of 09/15/2026

Also filed as J••••• N••••••• M••••••••

At current firm

2 y

since Apr 23, 2024

In the industry

10 y

since Mar 1, 2016 (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

R••• F•••••••• P••••••• independent RIA current
since Apr 23, 2024 · Austin, Tx
V••••••• A•••••••• I••• BD affiliated
Feb 4, 2022 to Apr 10, 2024 · Charlotte, Nc
S••••• W••••• A•••••••• I••• no RAUM
Feb 20, 2018 to Jan 9, 2022 · Lone Tree, Co
C•••••• S••••• • C••• I••• national BD
Oct 19, 2017 to Feb 20, 2018 · Lone Tree, Co

Moves

a registration end followed by a registration begin elsewhere

V••••••• A•••••••• I••• to R••• F•••••••• P•••••••
left Apr 10, 2024, registered Apr 23, 2024 (13 days) · Affiliated broker-dealer or bank to independent RIA
S••••• W••••• A•••••••• I••• to V••••••• A•••••••• I•••
left Jan 9, 2022, registered Feb 4, 2022 (26 days) · Other
C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••
left Feb 20, 2018, registered Feb 20, 2018 (0 days) · channel change inside one enterprise, not a move · moved with a team

Signals

J••••• N••••••• M•••••••• left V••••••• A•••••••• I••• for R••• F•••••••• P••••••• (registered 2024-04-23)
Apr 10, 2024 · Advisor changed firm · fact
J••••• N••••••• M•••••••• left S••••• W••••• A•••••••• I••• for V••••••• A•••••••• I••• (registered 2022-02-04)
Jan 9, 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address