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

C•••••••• S••••• N••••••

I••••••••• R••••••• C•••independent RIADenver, Co dual registrantIAPD 2412525

Feed of 09/14/2026

At current firm

2 y

since Feb 8, 2024

In the industry

32 y

since Nov 15, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

I••••••••• R••••••• C••• independent RIA current
since Feb 8, 2024 · Denver, Co
M•• I•••••••• S•••••••• L•• BD affiliated
May 31, 2018 to Feb 14, 2024 · Seattle, Wa
H••••• M••• I••••••••• I••• no RAUM
Feb 21, 2017 to Apr 20, 2018 · Federal Way, Wa
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIA
Mar 10, 2014 to Jan 25, 2016 · Los Angeles, Ca
Q•••••• A•••• M••••••••• I••• former
Oct 21, 2008 to Jul 19, 2013 · Minneapolis, Mn
U•••••••• S••••••••• I••• unclassified
Jan 30, 2001 to Jun 16, 2006 · Los Angeles, Ca

Moves

a registration end followed by a registration begin elsewhere

M•• I•••••••• S•••••••• L•• to I••••••••• R••••••• C•••
left Feb 14, 2024, registered Feb 8, 2024 (-6 days) · Affiliated broker-dealer or bank to independent RIA
H••••• M••• I••••••••• I••• to M•• I•••••••• S•••••••• L••
left Apr 20, 2018, registered May 31, 2018 (41 days) · Other
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• to H••••• M••• I••••••••• I•••
left Jan 25, 2016, registered Feb 21, 2017 (393 days) · Other
Q•••••• A•••• M••••••••• I••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••
left Jul 19, 2013, registered Mar 10, 2014 (234 days) · Other
U•••••••• S••••••••• I••• to Q•••••• A•••• M••••••••• I•••
left Jun 16, 2006, registered Oct 21, 2008 (858 days) · corporate re-registration, not a move

Signals

Christine Sionia Neilson left Mml Investors Services, Llc for Investment Research Corp (registered 2024-02-08)
Feb 14, 2024 · 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: Independent wealth managerderived
Years in industry: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address