DFX Intelligence

J••••• C•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)17 years in industry

J••••• C•••

Advisor at S•••••••• A••••••• L••

BROOMFIELD, CO | GREENWOOD VILLAGE, CO

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Search this name across graphsid dfx:ria:3729ecd1-16fd-7093-f255-3bc0d85a6576

Data as of Sep 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 17, 2013 to Sep 19, 2026

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

Current firm: S•••••••• A••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Feb 17, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Mar 31, 2025	n/a	yes	BROOMFIELD, CO\|GREENWOOD VILLAGE, CO	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	Jan 4, 2019	Mar 31, 2025	no	DENVER, CO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• P••••••• A•• W•••••••• A•••••••	S•••••••• A••••••• L••	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
C••••• C••••••• L••	F••••••• P••••••• A•• W•••••••• A•••••••	Mar 29, 2016	Jan 4, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
120270:288590:CO:2016-03-29	Mar 29, 2016	Jan 4, 2019	DENVER, CO	Firm change after gap

Relationships

Registered with (4)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Jan 4, 2019 to Mar 31, 2025factForm ADV
→ C••••• C••••••• L••Registered adviserregistration: previous registration
May 22, 2015 to Mar 29, 2016factForm ADV
→ U•• F•••••••• S••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3729ecd1-16fd-7093-f255-3bc0d85a6576
First observed: Sep 17, 2013
Last observed: Sep 19, 2026 3 days ago
Source families: Federal regulator filings
1 registered feed 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.