DFX Intelligence

S•••••••• J••••• S• • A••••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

S•••••••• J••••• S• • A••••••••• I••

CRD 107609

DENVER, CO

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Search this name across graphsid dfx:ria:107ddfd0-1645-8b22-5f4a-f3722bf714e4

Data as of Mar 16, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Mar 16, 2012 to Mar 16, 2012
1 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $28.7M••• Locked
Discretionary RAUM: $6.6M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 274
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••••••• J•••••• S••••••••	President	E	yes	10/1995	Mar 16, 2012	Mar 16, 2012
A••••••• S•••••• D••••••	CHIEF COMPLIANCE OFFICER	Na	no	10/2004	Mar 16, 2012	Mar 16, 2012

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 16, 2012	$28.7M	$6.6M	n/a	n/a	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$28.7M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
F•••• A••••• S••••••••• I•••	2	Feb 27, 2023	Mar 26, 2004	DENVER, CO	Team lift out	Other	100.0%

Relationships

Owns (1)

← A••••••• S•••••• D••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 16, 2012 to presentfactForm ADV

Controls (1)

← S••••••••• J•••••• S••••••••OwnerPRESIDENT, ownership code E, individual
Mar 16, 2012 to presentfactForm ADV

Registered with (3)

← J••••• S•••••••• S••••••••Advisorregistration: previous registration
Jan 1, 1999 to Feb 27, 2023factForm ADV

Dated events

Occurred
Feb 27, 2023
Team lift-out
••• Locked
Form ADVobserved 7 days ago
2 advisors
Occurred
Feb 27, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 27, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:107ddfd0-1645-8b22-5f4a-f3722bf714e4
First observed: Mar 16, 2012
Last observed: Mar 16, 2012 176 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.