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M•••••• A•••• V••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Analystdual registered (broker-dealer)33 years in industry

M•••••• A•••• V••••••

Advisor at R•••••• J•••• F•••••••• S••••••• A•••••••• I••

Boulder, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:df5feb17-4baf-f129-0d82-d31501a3b71b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 2
On other graphs: 0
Observed: May 26, 2000 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•••• F•••••••• S••••••• A•••••••• I••
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 9, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 2derivedfrom 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
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Bd affiliated wealth	Nov 13, 2023	n/a	yes	Boulder, CO	Current employment
F•••• N••••••• A•••••••• L••	Mixed wealth	Jan 5, 2023	Nov 10, 2023	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
F•••• N••••••• A•••••••• L••	R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Nov 10, 2023	Nov 13, 2023	3	Firm change	Other
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	F•••• N••••••• A•••••••• L••	Sep 12, 2022

Team moves

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

Team	Left	Joined	From	Kind
115920:149018:CO:2015-06-18	Jun 18, 2015	Jun 17, 2015	BOULDER, CO	Firm change

Relationships

Registered with (8)

→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Jun 17, 2015 to Sep 12, 2022factForm ADV
→ F•••• N••••••• A•••••••• L••Registered adviserregistration: previous registration
Jan 5, 2023 to Nov 10, 2023factForm ADV
→ F•••• N••••••• C•••••• M••••••• I•••Registered adviserregistration: previous registration
Mar 10, 2014 to Jun 18, 2015factForm ADV
→ M•• I•••••••• S•••••••• L••

Dated events

Occurred
Nov 10, 2023
Advisor changed firm
M•••••• A•••• V•••••• left F•••• N••••••• A•••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-11-13)
Form ADVobserved 7 days ago
Occurred
Sep 12, 2022
Advisor changed firm
M•••••• A•••• V•••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for F•••• N••••••• A•••••••• L•• (registered 2023-01-05)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:df5feb17-4baf-f129-0d82-d31501a3b71b
First observed: May 26, 2000
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.