DFX Intelligence
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Registered advisor
J•••• C•••••••
Feed of 09/15/2026
Also filed as J•••• V• C••••••••• V••••••••• C••••••••• V••••• C••••••••• V••••• H••••• C•••••••
At current firm
7 y
since Sep 17, 2019
In the industry
20 y
since Aug 24, 2006 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Sep 17, 2019 · Greenwood Village, Co
- T• A••••••••• I••••••••• M••••••••• L•• formerNov 28, 2018 to Sep 10, 2019 · Littleton, Co
- T• A••••••••• I••• formerNov 28, 2018 to Sep 10, 2019 · Littleton, Co
- E•••••• A••••••• G••••• L•• BD affiliatedFeb 18, 2016 to Nov 26, 2018 · Greenwood Village, Co
- C•••••• S••••• • C••• I••• national BDSep 29, 2006 to Dec 8, 2010 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Sep 10, 2019, registered Nov 28, 2018 (-286 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to E•••••• A••••••• G••••• L••left Sep 10, 2019, registered Sep 17, 2019 (7 days) · Other
- E•••••• A••••••• G••••• L•• to T• A••••••••• I•••left Nov 26, 2018, registered Nov 28, 2018 (2 days) · Other
- C•••••• S••••• • C••• I••• to E•••••• A••••••• G••••• L••left Dec 8, 2010, registered Feb 18, 2016 (1898 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address