DFX Intelligence

R•••••• A•••• W••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

R•••••• A•••• W••••

Advisor at R•••••• J•••• • A••••••••• I•••

COLORADO SPRINGS, CO

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Search this name across graphsid dfx:ria:3e8e85f7-c5ff-83d5-3f48-900de6b6aabb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Dec 1, 1997 to Sep 14, 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: R•••••• J•••• • A••••••••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jul 15, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• • A••••••••• I•••	National bd RIA	Oct 31, 2018	n/a	yes	COLORADO SPRINGS, CO	Current employment
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Nov 10, 2011	Nov 29, 2018	no	COLORADO SPRINGS, CO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••• N••••••• • C••••••• I•••••••••	R•••••• J•••• • A••••••••• I•••	Nov 29, 2018	Oct 31, 2018	-29	Firm change	Ibd to ibd
S•••••• M••••• L••	S•••••• N••••••• • C••••••• I•••••••••	Nov 10, 2011	Nov 10, 2011

Team moves

••• Locked

Team	Left	Joined	From	Kind
793:705:CO:2018-11-29	Nov 29, 2018	Oct 31, 2018	COLORADO SPRINGS, CO	Firm change

Relationships

Registered with (6)

→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: current employment
Oct 31, 2018 to presentfactForm ADV
→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: previous registration
Nov 10, 2011 to Nov 29, 2018factForm ADV
→ S•••••• M••••• L••Registered adviserregistration: previous registration
Dec 20, 2006 to Nov 10, 2011factForm ADV
→ S•• C•••••• A••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3e8e85f7-c5ff-83d5-3f48-900de6b6aabb
First observed: Dec 1, 1997
Last observed: Sep 14, 2026 9 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.