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.
Feed of 09/14/2026
At current firm
4 y
since Aug 19, 2022
In the industry
27 y
since Jun 8, 1999 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Captrust institutional currentsince Aug 19, 2022 · Wichita, Ks
- Frontier Wealth Management, LLC formerApr 3, 2015 to Oct 21, 2022 · Wichita, Ks
- UBS Financial Services Inc. wirehouseJul 12, 1999 to Apr 22, 2015 · Wichita, Ks
Moves
a registration end followed by a registration begin elsewhere
- Frontier Wealth Management, LLC to Captrustleft Oct 21, 2022, registered Aug 19, 2022 (-63 days) · Other · moved with a team
- UBS Financial Services Inc. to Frontier Wealth Management, LLCleft Apr 22, 2015, registered Apr 3, 2015 (-19 days) · Other · moved with a team
Signals
- John D Jenkins left Frontier Wealth Management, Llc for Captrust (registered 2022-08-19)Oct 21, 2022 · 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
- Institutional managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address