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

A•••••• J••• N•••••••••

S•••••••BD affiliatedLittle Rock, Ardual registrantIAPD 7203546

Feed of 09/14/2026

Also filed as A•••••• J••• N•••••••••

At current firm

2 y

since Jun 13, 2024

In the industry

13 y

since Aug 1, 2013 (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

S••••••• BD affiliated current
since Jun 13, 2024 · Little Rock, Ar
O•••• W•••••• I••• BD affiliated
Jan 19, 2024 to Apr 16, 2024 · Scottsdale, Az
W••••••• F•••••••• S•••••••• I••• former
Aug 11, 2022 to Jan 19, 2024 · Oakdale, Mn
A••••• W••••• M••••••••• independent RIA
Dec 10, 2021 to Apr 11, 2022 · Springdale, Ar
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 21, 2020 to Nov 26, 2021 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to S•••••••
left Apr 16, 2024, registered Jun 13, 2024 (58 days) · Affiliated broker-dealer or bank to another
W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••
left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
A••••• W••••• M••••••••• to W••••••• F•••••••• S•••••••• I•••
left Apr 11, 2022, registered Aug 11, 2022 (122 days) · RIA to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••• W••••• M•••••••••
left Nov 26, 2021, registered Dec 10, 2021 (14 days) · Wirehouse to independent RIA

Signals

A•••••• J••• N••••••••• left O•••• W•••••• I••• for Stephens (registered 2024-06-13)
Apr 16, 2024 · Advisor changed firm · fact
A•••••• J••• N••••••••• left A••••• W••••• M••••••••• for W••••••• F•••••••• S•••••••• I••• (registered 2022-08-11)
Apr 11, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address