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••• C••••••

N••••••••• M••••• I••••••••• S•••••••••no RAUMMilwaukee, Widual registrantIAPD 7129933

Feed of 09/14/2026

Also filed as Connor C••••••

At current firm

1 y

since Jul 10, 2025

In the industry

11 y

since Aug 1, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

N••••••••• M••••• I••••••••• S••••••••• no RAUM current
since Jul 10, 2025 · Milwaukee, Wi
L•• E••••••••• L•• BD affiliated
Nov 14, 2024 to Mar 24, 2025 · Wauwatosa, Wi
P•••• S••••••••• L•• no RAUM
Dec 14, 2023 to Nov 14, 2024 · Wauwatosa, Wi
M••••• O• O•••• I••••••• S•••••••• I••• independent RIA
Jan 1, 2020 to Dec 13, 2023 · Lexington, Ky

Moves

a registration end followed by a registration begin elsewhere

L•• E••••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••
left Mar 24, 2025, registered Jul 10, 2025 (108 days) · Other
P•••• S••••••••• L•• to L•• E••••••••• L••
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
M••••• O• O•••• I••••••• S•••••••• I••• to P•••• S••••••••• L••
left Dec 13, 2023, registered Dec 14, 2023 (1 days) · RIA to affiliated broker-dealer or bank

Signals

J••• C•••••• left L•• E••••••••• L•• for N••••••••• M••••• I••••••••• S••••••••• (registered 2025-07-10)
Mar 24, 2025 · Advisor changed firm · fact
J••• C•••••• left M••••• O• O•••• I••••••• S•••••••• I••• for P•••• S••••••••• L•• (registered 2023-12-14)
Dec 13, 2023 · 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: No RAUM reportedderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address