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•••••• A••••

A•••• F•••••••• P•••••••no RAUMPrescott, AzIA-onlyIAPD 7052252

Certified Financial Planner

Feed of 09/14/2026

Also filed as Joe M A••••

At current firm

0 y

since Aug 6, 2026

In the industry

19 y

since Jul 1, 2007 (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

A•••• F•••••••• P••••••• no RAUM current
since Aug 6, 2026 · Prescott, Az
L••• B••••••• I••••••••• C•••••• independent RIA
Feb 27, 2024 to Jul 31, 2026 · Prescott, Az
C••••• A•••••• N••••••• L•• former
Mar 24, 2022 to Dec 31, 2022 · Prescott, Az
C••• L•• BD affiliated
Mar 24, 2022 to Apr 2, 2024 · Prescott, Az
E••••• J•••• national BD
Mar 1, 2019 to Mar 24, 2022 · Prescott, Az

Moves

a registration end followed by a registration begin elsewhere

L••• B••••••• I••••••••• C•••••• to A•••• F•••••••• P•••••••
left Jul 31, 2026, registered Aug 6, 2026 (6 days) · RIA to a newly registered adviser
C••• L•• to L••• B••••••• I••••••••• C••••••
left Apr 2, 2024, registered Feb 27, 2024 (-35 days) · Other
C••••• A•••••• N••••••• L•• to C••• L••
left Dec 31, 2022, registered Mar 24, 2022 (-282 days) · Affiliated broker-dealer or bank to another
E••••• J•••• to C••••• A•••••• N••••••• L••
left Mar 24, 2022, registered Mar 24, 2022 (0 days) · Affiliated broker-dealer or bank to another

Signals

J••••• M•••••• A•••• left L••• B••••••• I••••••••• C•••••• for A•••• F•••••••• P••••••• (registered 2026-08-06)
Jul 31, 2026 · a•••••• firm change · fact
J••••• M•••••• A•••• left C••• L•• for L••• B••••••• I••••••••• C•••••• (registered 2024-02-27)
Apr 2, 2024 · a•••••• firm change · fact
J••••• M•••••• A•••• left C••••• A•••••• N••••••• L•• for C••• L•• (registered 2022-03-24)
Dec 31, 2022 · a•••••• firm change · fact
J••••• M•••••• A•••• left E••••• J•••• for C••••• A•••••• N••••••• L•• (registered 2022-03-24)
Mar 24, 2022 · 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: No RAUM reportedderived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address