DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Analyst33 years in industry

J••• N••••• D•••••

Advisor at C••• L••

••• Locked

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Search this name across graphsid dfx:ria:418a2212-ab3e-6379-6c89-a2af1860de2a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Dec 2, 2003 to Sep 15, 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: C••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••• L••	Bd affiliated wealth	Jul 8, 2025	n/a	yes	Dallas, TX\|OMAHA, NE\|Englewood, CO	Current employment
A••• C•••••• P•••••••• L••	Former SEC adviser	Nov 29, 2024	Oct 2, 2025	no	Dallas, TX\|ENGLEWOOD, CO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••• C•••••• P•••••••• L••	C••• L••	Oct 2, 2025	Jul 8, 2025	-86	Firm change after gap	RIA to ibd
P•••••••• C•••••• M••••••••• I•••	A••• C•••••• P•••••••• L••	Oct 1, 2025	Nov 29, 2024

Team moves

••• Locked

Team	Left	Joined	From	Kind
157728:155344:CO:2025-10-02	Oct 2, 2025	Jul 8, 2025	ENGLEWOOD, CO	Firm change after gap

Relationships

Registered with (3)

→ C••• L••Registered adviserregistration: current employment
Jul 8, 2025 to presentfactForm ADV
→ A••• C•••••• P•••••••• L••Registered adviserregistration: previous registration
Nov 29, 2024 to Oct 2, 2025factForm ADV
→ P•••••••• C•••••• M••••••••• I•••Registered adviserregistration: previous registration
Dec 2, 2003 to Oct 1, 2025factForm ADV

Dated events

Occurred
Oct 2, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Oct 1, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:418a2212-ab3e-6379-6c89-a2af1860de2a
First observed: Dec 2, 2003
Last observed: Sep 15, 2026 7 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.