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.

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Registered advisor

T••••••• J•••• S••••••

C••• L••BD affiliatedOmaha, Ne IA-onlyIAPD 2585287

Certified Financial Planner

Feed of 09/15/2026

Also filed as Ted S••••••

At current firm

7 y

since Oct 24, 2018

In the industry

28 y

since Mar 27, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••• L•• BD affiliated current
since Oct 24, 2018 · Centennial, Co
W•••••• W••••• M••••••••• L•• independent RIA
Jun 22, 2016 to Oct 30, 2018 · Arvada, Co
W•••••• W••••• M••••••••• L•• former
Oct 29, 2015 to Jun 22, 2016 · Arvada, Co
L•• F•••••••• L•• BD affiliated
Dec 10, 2010 to Sep 8, 2016 · Golden, Co
E••••• J•••• national BD
Jan 25, 2007 to Dec 14, 2010 · Arvada, Co

Moves

a registration end followed by a registration begin elsewhere

W•••••• W••••• M••••••••• L•• to C••• L••
left Oct 30, 2018, registered Oct 24, 2018 (-6 days) · RIA to RIA
L•• F•••••••• L•• to W•••••• W••••• M••••••••• L••
left Sep 8, 2016, registered Oct 29, 2015 (-315 days) · Other · moved with a team
W•••••• W••••• M••••••••• L•• to W•••••• W••••• M••••••••• L••
left Jun 22, 2016, registered Jun 22, 2016 (0 days) · corporate re-registration, not a move
E••••• J•••• to L•• F•••••••• L••
left Dec 14, 2010, registered Dec 10, 2010 (-4 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: Broker-dealer affiliated wealth managerderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address