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

M•••••• J•••• C•••••••

K•• I••••••••• S••••••• L••BD affiliatedDenver, Co dual registrantIAPD 1929700

Feed of 09/14/2026

Also filed as M•••••• C•••••••

At current firm

4 y

since Jul 21, 2022

In the industry

34 y

since Jun 4, 1992 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

K•• I••••••••• S••••••• L•• BD affiliated current
since Jul 21, 2022 · Denver, Co
U••• B•••••• I••••••••• I••• former
Oct 4, 2016 to Jun 28, 2022 · Lakewood, Co
S•••••••• A••••••• L•• national BD
Jul 13, 2010 to Oct 13, 2016 · Tigard, Or
N••••••• T•••• S••••••••• I•• BD affiliated
Dec 17, 2007 to Dec 31, 2009 · Dallas, Tx
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
May 31, 2005 to Dec 7, 2007 · Dallas, Tx
S•••••••• A••••••• L•• national BD
Jul 8, 1997 to Jul 11, 2005 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to K•• I••••••••• S••••••• L••
left Jun 28, 2022, registered Jul 21, 2022 (23 days) · Affiliated broker-dealer or bank to another
S•••••••• A••••••• L•• to U••• B•••••• I••••••••• I•••
left Oct 13, 2016, registered Oct 4, 2016 (-9 days) · Other
N••••••• T•••• S••••••••• I•• to S•••••••• A••••••• L••
left Dec 31, 2009, registered Jul 13, 2010 (194 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to N••••••• T•••• S••••••••• I••
left Dec 7, 2007, registered Dec 17, 2007 (10 days) · Other
S•••••••• A••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Jul 11, 2005, registered May 31, 2005 (-41 days) · Other

Signals

M•••••• J•••• C••••••• left U••• B•••••• I••••••••• I••• for K•• I••••••••• S••••••• L•• (registered 2022-07-21)
Jun 28, 2022 · Advisor changed firm · fact

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: Broker-dealer affiliated wealth managerderived
Years in industry: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address