DFX Intelligence

G•••••• L•••••• T•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)27 years in industry

G•••••• L•••••• T•••••••

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

COLORADO SPRINGS, CO

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Search this name across graphsid dfx:ria:76b7ab7c-628a-b19a-8980-f9a7e1da2756

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Oct 11, 2002 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 14, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• • A••••••••• I•••	National bd RIA	Apr 21, 2011	n/a	yes	COLORADO SPRINGS, CO	Current employment
H•••••• T••••••• E••••••••• L•••	n/a	Oct 11, 2002	May 11, 2011	no	COLORADO SPRINGS, CO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H•••••• T••••••• E••••••••• L•••	R•••••• J•••• • A••••••••• I•••	May 11, 2011	Apr 21, 2011	-20	Firm change	Other

Relationships

Registered with (2)

→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: current employment
Apr 21, 2011 to presentfactForm ADV
→ H•••••• T••••••• E••••••••• L•••Registered adviserregistration: previous registration
Oct 11, 2002 to May 11, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:76b7ab7c-628a-b19a-8980-f9a7e1da2756
First observed: Oct 11, 2002
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.