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

M•••••• O•••• N••••

N•••••• A•••••••BD affiliatedNew Orleans, La IA-onlyIAPD 868097

Feed of 09/14/2026

Also filed as M•••••• O N••••

At current firm

0 y

since May 21, 2026

In the industry

47 y

since Jul 11, 1979 (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•••••• A••••••• BD affiliated current
since May 21, 2026 · Janesville, Wi
S•••••• N••••••• • C••••••• I••••••••• national BD
Apr 28, 2017 to Jun 10, 2026 · Madison, Wi
U•• F•••••••• S••••••• I••• wirehouse
May 11, 2009 to May 9, 2017 · Madison, Wi
W•••• F•••• A••••••• wirehouse
Jul 7, 2000 to Feb 24, 2009 · Janesville, Wi

Moves

a registration end followed by a registration begin elsewhere

S•••••• N••••••• • C••••••• I••••••••• to N•••••• A•••••••
left Jun 10, 2026, registered May 21, 2026 (-20 days) · Affiliated broker-dealer or bank to another · moved with a team
U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
left May 9, 2017, registered Apr 28, 2017 (-11 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••
left Feb 24, 2009, registered May 11, 2009 (76 days) · Wirehouse to wirehouse

Signals

M•••••• O•••• N•••• left S•••••• N••••••• • C••••••• I••••••••• for N•••••• A••••••• (registered 2026-05-21)
Jun 10, 2026 · 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: 47derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address