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••••• Z••••••• O••••••••

J••• M••••• S••••••••• L••wirehouseEnglishtown, Njdual registrantIAPD 7176945

Feed of 09/14/2026

Also filed as N••••• Z Oconnell

At current firm

0 y

since Mar 24, 2026

In the industry

10 y

since May 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

J••• M••••• S••••••••• L•• wirehouse current
since Mar 24, 2026 · Englishtown, Nj
C•••••• G•••• P•••••• C••••• S•••••••• I••• independent RIA
Dec 17, 2024 to Jul 24, 2025 · Los Angeles, Ca
J••• M••••• S••••••••• L•• wirehouse
Mar 8, 2024 to Oct 3, 2024 · New York, Ny
J••• M••••• P•••••• W••••• A••••••• L•• former
Nov 9, 2022 to Oct 21, 2024 · New York, Ny
U•• F•••••••• S••••••• I••• wirehouse
Oct 3, 2022 to Nov 14, 2022 · Cleveland, Oh

Moves

a registration end followed by a registration begin elsewhere

C•••••• G•••• P•••••• C••••• S•••••••• I••• to J••• M••••• S••••••••• L••
left Jul 24, 2025, registered Mar 24, 2026 (243 days) · RIA to wirehouse
J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••
left Oct 21, 2024, registered Mar 8, 2024 (-227 days) · channel change inside one enterprise, not a move · moved with a team
J••• M••••• S••••••••• L•• to C•••••• G•••• P•••••• C••••• S•••••••• I•••
left Oct 3, 2024, registered Dec 17, 2024 (75 days) · Wirehouse to independent RIA
U•• F•••••••• S••••••• I••• to J••• M••••• P•••••• W••••• A••••••• L••
left Nov 14, 2022, registered Nov 9, 2022 (-5 days) · Wirehouse to affiliated broker-dealer or bank

Signals

N••••• Z••••••• O•••••••• left C•••••• G•••• P•••••• C••••• S•••••••• I••• for J••• M••••• S••••••••• L•• (registered 2026-03-24)
Jul 24, 2025 · Advisor changed firm · fact
N••••• Z••••••• O•••••••• left J••• M••••• S••••••••• L•• for C•••••• G•••• P•••••• C••••• S•••••••• I••• (registered 2024-12-17)
Oct 3, 2024 · Advisor changed firm · fact
N••••• Z••••••• O•••••••• left U•• F•••••••• S••••••• I••• for J••• M••••• P•••••• W••••• A••••••• L•• (registered 2022-11-09)
Nov 14, 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address