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

B•••• A•••••• T••••••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedGreenwood Village, Codual registrantIAPD 4282149

Feed of 09/14/2026

At current firm

0 y

since Jul 31, 2026

In the industry

24 y

since Dec 21, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

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 Jul 31, 2026 · Greenwood Village, Co
W•••• F•••• A••••••• wirehouse
Aug 22, 2014 to Aug 10, 2026 · Denver, Co
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 5, 2009 to Sep 5, 2014 · Denver, Co
A••••••••• A•••••• S•••••••• I••• unclassified
Jul 3, 2003 to Oct 5, 2009 · Littleton, Co

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Aug 10, 2026, registered Jul 31, 2026 (-10 days) · Wirehouse to affiliated broker-dealer or bank
A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••
left Sep 5, 2014, registered Aug 22, 2014 (-14 days) · Affiliated broker-dealer or bank to wirehouse
A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move

Signals

B•••• A•••••• T•••••• left W•••• F•••• A••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2026-07-31)
Aug 10, 2026 · 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address