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

J•••• A••• B•••••

I•• A••••••• S•••••••• I•••mixed wealthDenver, CoIA-onlyIAPD 3127129

Certified Financial Planner

Feed of 09/14/2026

Also filed as Jim Brauer

At current firm

1 y

since Jan 2, 2025

In the industry

26 y

since May 1, 2000 (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

I•• A••••••• S•••••••• I••• mixed wealth current
since Jan 2, 2025 · Denver, Co
S••••••••• L•• former
Jul 17, 2023 to Jan 3, 2025 · Denver, Co
S••••••••• I••••••••• C••••••• L••• former
May 22, 2020 to Dec 31, 2023 · Denver, Co
A••••• A•• P••••••• S••••••• BD affiliated
Oct 17, 2019 to Jan 7, 2020 · Denver, Co
A••••• A•• P••••••• S••••••• BD affiliated
Apr 8, 2014 to Jan 25, 2018 · Denver, Co
A••••• A•• P••••••• S••••••• BD affiliated
Feb 8, 2006 to Oct 29, 2012 · Denver, Co

Moves

a registration end followed by a registration begin elsewhere

S••••••••• L•• to I•• A••••••• S•••••••• I•••
left Jan 3, 2025, registered Jan 2, 2025 (-1 days) · Other · moved with a team
S••••••••• I••••••••• C••••••• L••• to S••••••••• L••
left Dec 31, 2023, registered Jul 17, 2023 (-167 days) · Other · moved with a team
A••••• A•• P••••••• S••••••• to S••••••••• I••••••••• C••••••• L•••
left Jan 7, 2020, registered May 22, 2020 (136 days) · Other

Signals

J•••• A••• B••••• left S••••••••• L•• for I•• A••••••• S•••••••• I••• (registered 2025-01-02)
Jan 3, 2025 · Advisor changed firm · fact
J•••• A••• B••••• left S••••••••• I••••••••• C••••••• L••• for S••••••••• L•• (registered 2023-07-17)
Dec 31, 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: Wealth manager with institutional or fund businessderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address