DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

J•••• L••• G•••••

P••••••• A••••••• I••••••••• S•••••••state registeredEnglewood, CoIA-onlyIAPD 1195389

Chartered Financial Consultant

Feed of 09/14/2026

At current firm

7 y

since Apr 8, 2019

In the industry

33 y

since Mar 10, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

P••••••• A••••••• I••••••••• S••••••• state registered current
since Apr 8, 2019 · Englewood, Co
A••••••••• F•••••••• S•••••••• L•• national BD
May 25, 2018 to Dec 31, 2018 · Greenwood Village, Co
D••• I••••••••• L•• former
Jun 28, 2017 to May 25, 2018 · Englewood, Co
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Oct 8, 2015 to Jun 9, 2017 · Englewood, Co
F•••• A••••• A••••••• S•••••••• I••• former
Sep 30, 2010 to Oct 23, 2015 · Englewood, Co
G•••••••• I••••••••• M••••••••• I••• unclassified
Sep 8, 2004 to Oct 7, 2010 · Greenwood Village, Co
X•••• F•••••••• P•••••••• I••• unclassified
Aug 20, 2004 to Dec 1, 2004 · Greenwood Village, Co
X•••• F•••••••• P•••••••• I••• unclassified
Jan 14, 2003 to Jul 26, 2004 · Greenwood Village, Co
X•••• I••••••••• S•••••••• I••• unclassified
Dec 20, 2001 to Jan 15, 2003 · Englewood, Co
X•••• I•• unclassified
Feb 16, 2000 to Dec 31, 2002 · Greenwood Village, Co

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to P••••••• A••••••• I••••••••• S•••••••
left Dec 31, 2018, registered Apr 8, 2019 (98 days) · Affiliated broker-dealer or bank to a state-registered adviser
D••• I••••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left May 25, 2018, registered May 25, 2018 (0 days) · RIA to affiliated broker-dealer or bank
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to D••• I••••••••• L••
left Jun 9, 2017, registered Jun 28, 2017 (19 days) · Other
F•••• A••••• A••••••• S•••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
left Oct 23, 2015, registered Oct 8, 2015 (-15 days) · Other
G•••••••• I••••••••• M••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••
left Oct 7, 2010, registered Sep 30, 2010 (-7 days) · Other
X•••• F•••••••• P•••••••• I••• to G•••••••• I••••••••• M••••••••• I•••
left Dec 1, 2004, registered Sep 8, 2004 (-84 days) · Other
X•••• I••••••••• S•••••••• I••• to X•••• F•••••••• P•••••••• I•••
left Jan 15, 2003, registered Jan 14, 2003 (-1 days) · Other
X•••• I•• to X•••• I••••••••• S•••••••• I•••
left Dec 31, 2002, registered Dec 20, 2001 (-376 days) · Other

Signals

No dated event on this person.

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: STATE REGISTEREDderived
Years in industry: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address