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

D•••• A•••• C•••••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedSurprise, Azdual registrantIAPD 3168801

Feed of 09/14/2026

At current firm

0 y

since Nov 23, 2025

In the industry

27 y

since Mar 16, 1999 (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

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
since Nov 23, 2025 · Surprise, Az
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 29, 2023 to Nov 18, 2025 · Scottsdale, Az
C••••• A•••••• N••••••• L•• former
Apr 21, 2022 to Jun 29, 2023 · Scottsdale, Az
F•••• F•••••••• E••••• C••••••••• former
Jan 31, 2007 to Mar 2, 2022 · Greenwood Village, Co
S•••••••• F••••••••• I••• former
Nov 3, 2005 to Feb 12, 2007 · Phoenix, Az
W•••• F•••• I••••••••• L•• unclassified
Jun 3, 2003 to Aug 29, 2005 · Brighton, Co
M••••• S•••••• D• I••• unclassified
Nov 24, 1999 to Jun 3, 2003 · Denver, Co

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Nov 18, 2025, registered Nov 23, 2025 (5 days) · Affiliated broker-dealer or bank to another
C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••
left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
F•••• F•••••••• E••••• C••••••••• to C••••• A•••••• N••••••• L••
left Mar 2, 2022, registered Apr 21, 2022 (50 days) · Affiliated broker-dealer or bank to another
S•••••••• F••••••••• I••• to F•••• F•••••••• E••••• C•••••••••
left Feb 12, 2007, registered Jan 31, 2007 (-12 days) · Other
W•••• F•••• I••••••••• L•• to S•••••••• F••••••••• I•••
left Aug 29, 2005, registered Nov 3, 2005 (66 days) · Other
M••••• S•••••• D• I••• to W•••• F•••• I••••••••• L••
left Jun 3, 2003, registered Jun 3, 2003 (0 days) · Other

Signals

D•••• A•••• C••••• left C••••• I••••••••• A••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2025-11-23)
Nov 18, 2025 · a•••••• firm change · fact
D•••• A•••• C••••• left F•••• F•••••••• E••••• C••••••••• for C••••• A•••••• N••••••• L•• (registered 2022-04-21)
Mar 2, 2022 · a•••••• firm change · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address