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

P•••••• S••••••••• J•••••••

M•••••• C••••••• L••state registeredDenver, Co IA-onlyIAPD 2531902

Chartered Financial Consultant

Feed of 09/14/2026

Also filed as P•••••• S••••••••• J•••••••

At current firm

1 y

since Oct 8, 2024

In the industry

28 y

since Apr 22, 1998 (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

M•••••• C••••••• L•• state registered current
since Oct 8, 2024 · Carrollton, Tx
S•••••• S••••••••• BD affiliated
Mar 9, 2023 to Dec 31, 2023 · Harrisburg, Ne
F••••••••• A•••• M••••••••• independent RIA
Apr 2, 2020 to Feb 22, 2023 · Lake Mary, Fl
F••••••••• mixed wealth
Jan 8, 2018 to Feb 22, 2023 · Dallas, Tx
F••••••••• mixed wealth
Sep 26, 2017 to Dec 31, 2017 · Scottsbluff, Ne
J••••••• C••••••• I••• former
Jan 25, 2007 to Jun 30, 2018 · Scottsbluff, Ne
J••••••• C••••••• I••• former
May 25, 2006 to Jan 1, 2007 · Scottsbluff, Ne
F•••• F•••••••• S•••••••• I••• former
Apr 3, 2000 to May 12, 2006 · Scottsbluff, Ne

Moves

a registration end followed by a registration begin elsewhere

S•••••• S••••••••• to M•••••• C••••••• L••
left Dec 31, 2023, registered Oct 8, 2024 (282 days) · Affiliated broker-dealer or bank to a state-registered adviser
F••••••••• A•••• M••••••••• to S•••••• S•••••••••
left Feb 22, 2023, registered Mar 9, 2023 (15 days) · RIA to affiliated broker-dealer or bank
F••••••••• to F••••••••• A•••• M•••••••••
left Feb 22, 2023, registered Apr 2, 2020 (-1056 days) · channel change inside one enterprise, not a move
J••••••• C••••••• I••• to F•••••••••
left Jun 30, 2018, registered Sep 26, 2017 (-277 days) · RIA to a newly registered adviser
F•••• F•••••••• S•••••••• I••• to J••••••• C••••••• I•••
left May 12, 2006, registered May 25, 2006 (13 days) · Other

Signals

P•••••• S••••••••• J••••••• left S•••••• S••••••••• for M•••••• C••••••• L•• (registered 2024-10-08)
Dec 31, 2023 · Advisor changed firm · fact
P•••••• S••••••••• J••••••• left F••••••••• A•••• M••••••••• for S•••••• S••••••••• (registered 2023-03-09)
Feb 22, 2023 · 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: STATE REGISTEREDderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address