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

N••••• D••••

J••• M••••• S••••••••• L••wirehouseGreenwich, Ctdual registrantIAPD 6985251

Certified Financial Planner

Feed of 09/14/2026

Also filed as N•••••Tou Abike D••••

At current firm

2 y

since Jan 17, 2024

In the industry

11 y

since Sep 1, 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

J••• M••••• S••••••••• L•• wirehouse current
since Jan 17, 2024 · Greenwich, Ct
F••••••• P••••••• A•• W•••••••• A••••••• former
Apr 10, 2023 to Jan 8, 2024 · West Hartford, Ct
A••••••••• L••• other
Feb 23, 2022 to Aug 25, 2022 · New York, Ny
T• A••••••••• I••••••••• M••••••••• L•• former
Sep 16, 2019 to Apr 20, 2021 · Columbia, Md
T• A••••••••• I••• former
Sep 16, 2019 to Apr 20, 2021 · Columbia, Md

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to J••• M••••• S••••••••• L••
left Jan 8, 2024, registered Jan 17, 2024 (9 days) · Affiliated broker-dealer or bank to wirehouse
A••••••••• L••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Aug 25, 2022, registered Apr 10, 2023 (228 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Apr 20, 2021, registered Sep 16, 2019 (-582 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Apr 20, 2021, registered Sep 16, 2019 (-582 days) · channel change inside one enterprise, not a move

Signals

N••••• D•••• left F••••••• P••••••• A•• W•••••••• A••••••• for J••• M••••• S••••••••• L•• (registered 2024-01-17)
Jan 8, 2024 · Advisor changed firm · fact
N••••• D•••• left A••••••••• L••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-04-10)
Aug 25, 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: Wirehousederived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address