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

N••• J•••• C•••••••

R••••• C•••••• S•••••••••independent RIAEnglewood, Co IA-onlyIAPD 3051216

Certified Financial Planner

Feed of 09/15/2026

Also filed as N••• J C•••••••

At current firm

0 y

since Nov 18, 2025

In the industry

26 y

since Mar 6, 2000 (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

R••••• C•••••• S••••••••• independent RIA current
since Nov 18, 2025 · Overland Park, Ks
K••• W••••• A••••••• independent RIA
Aug 13, 2025 to Nov 18, 2025 · Overland Park, Ks
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 28, 2024 to Aug 8, 2025 · Overland Park, Ks
C••••••••• F•••••••• N•••••• national BD
Jan 23, 2024 to Jul 3, 2024 · Overland Park, Ks
C•••••• S••••• • C••• I••• national BD
Jan 10, 2022 to Jan 10, 2024 · Kansas City, Mo
T• A••••••••• I••••••••• M••••••••• L•• former
May 17, 2006 to Sep 7, 2023 · Greenwood Village, Co
T• A••••••••• I••• former
Sep 1, 2005 to Oct 14, 2022 · Greenwood Village, Co

Moves

a registration end followed by a registration begin elsewhere

K••• W••••• A••••••• to R••••• C•••••• S•••••••••
left Nov 18, 2025, registered Nov 18, 2025 (0 days) · RIA to RIA
C••••• I••••••••• A••••••• L•• to K••• W••••• A•••••••
left Aug 8, 2025, registered Aug 13, 2025 (5 days) · Affiliated broker-dealer or bank to independent RIA
C••••••••• F•••••••• N•••••• to C••••• I••••••••• A••••••• L••
left Jul 3, 2024, registered Jun 28, 2024 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
C•••••• S••••• • C••• I••• to C••••••••• F•••••••• N••••••
left Jan 10, 2024, registered Jan 23, 2024 (13 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Sep 7, 2023, registered Jan 10, 2022 (-605 days) · corporate re-registration, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 14, 2022, registered May 17, 2006 (-5994 days) · corporate re-registration, not a move

Signals

N••• J•••• C••••••• left K••• W••••• A••••••• for R••••• C•••••• S••••••••• (registered 2025-11-18)
Nov 18, 2025 · Advisor changed firm · fact
N••• J•••• C••••••• left C••••• I••••••••• A••••••• L•• for K••• W••••• A••••••• (registered 2025-08-13)
Aug 8, 2025 · Advisor changed firm · fact
N••• J•••• C••••••• left C••••••••• F•••••••• N•••••• for C••••• I••••••••• A••••••• L•• (registered 2024-06-28)
Jul 3, 2024 · Advisor changed firm · fact
N••• J•••• C••••••• left C•••••• S••••• • C••• I••• for C••••••••• F•••••••• N•••••• (registered 2024-01-23)
Jan 10, 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address