DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)20 years in industry

C••••••••• N••••

Advisor at E••••• J••••

LITTLETON, CO

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Search this name across graphsid dfx:ria:63d8bc17-c2c0-6f91-50c3-02619373e85a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Jan 19, 2007 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: E••••• J••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jan 13, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 7

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E••••• J••••	National bd RIA	Mar 6, 2023	n/a	yes	LITTLETON, CO	Current employment
N••••••••• M••••• I••••••••• S•••••••••	No RAUM reported	Jun 13, 2018	Nov 3, 2020	no	GREENWOOD VLG, CO\|ENGLEWOOD, CO\|DENVER, CO\|ENGLEWOOD, CO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••••••••• M••••• I••••••••• S•••••••••	E••••• J••••	Nov 3, 2020	Mar 6, 2023	853	Firm change after gap	Other
W••••• L••••• I••••••••• I•••	N••••••••• M••••• I••••••••• S•••••••••	Feb 5, 2018	Jun 13, 2018

Relationships

Registered with (6)

→ E••••• J••••Registered adviserregistration: previous registration
Feb 10, 2014 to Mar 29, 2016factForm ADV
→ N••••••••• M••••• I••••••••• S•••••••••Registered adviserregistration: previous registration
Jun 13, 2018 to Nov 3, 2020factForm ADV
→ W••••• L••••• I••••••••• I•••Registered adviserregistration: previous registration
Aug 25, 2017 to Feb 5, 2018factForm ADV
→ J••• M••••• S••••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:63d8bc17-c2c0-6f91-50c3-02619373e85a
First observed: Jan 19, 2007
Last observed: Sep 14, 2026 8 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.