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

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RIA / WealthAdvisorCertified Financial Planner28 years in industry

T••••••• J•••• S••••••

Advisor at C••• L••

OMAHA, NE | ENGLEWOOD, CO | Centennial, CO | Arvada, CO

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Search this name across graphsid dfx:ria:68e3ec49-0217-8779-77a4-996e5797e10f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 25, 2007 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 27, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
C••• L••	Bd affiliated wealth	Oct 24, 2018	n/a	yes	Centennial, CO\|OMAHA, NE\|Arvada, CO\|ENGLEWOOD, CO	Current employment
W•••••• W••••• M••••••••• L••	Independent wealth	Jun 22, 2016	Oct 30, 2018	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
W•••••• W••••• M••••••••• L••	C••• L••	Oct 30, 2018	Oct 24, 2018	-6	Firm change	RIA to RIA
L•• F•••••••• L••	W•••••• W••••• M••••••••• L••	Sep 8, 2016

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
6413:167344:CO:2016-09-07	Sep 8, 2016	Oct 29, 2015	ENGLEWOOD, CO	Firm change after gap

Relationships

Registered with (5)

→ C••• L••Registered adviserregistration: current employment
Oct 24, 2018 to presentfactForm ADV
→ W•••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Jun 22, 2016 to Oct 30, 2018factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Dec 10, 2010 to Sep 8, 2016factForm ADV
→ W•••••• W••••• M••••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:68e3ec49-0217-8779-77a4-996e5797e10f
First observed: Jan 25, 2007
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.