DFX Intelligence
RIA Intelligence
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Registered advisor
J•••• S•••••• D••••••
Certified Financial Planner
Feed of 09/15/2026
At current firm
3 y
since Aug 29, 2023
In the industry
25 y
since Jul 3, 2001 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••• P••••••• independent RIA currentsince Aug 29, 2023 · Highlands Ranch, Co
- J••• M••••• S••••••••• L•• wirehouseJun 2, 2014 to Nov 15, 2017 · Centennial, Co
- S••••• W••••• A•••••••• I••• no RAUMJan 3, 2012 to Jun 3, 2014 · Englewood, Co
- C•••••• S••••• • C••• I••• national BDMar 31, 2009 to Dec 31, 2011 · Englewood, Co
- L•• F•••••••• L•• BD affiliatedJul 30, 2008 to Mar 12, 2009 · Golden, Co
- W•••••• • R••• formerDec 19, 2005 to Apr 10, 2008 · Denver, Co
- L•• F•••••••• L•• BD affiliatedMay 20, 2005 to Dec 15, 2005 · Lafayette, Co
- M•• F•••••••• S•••••••• I••• formerJan 10, 2003 to Mar 4, 2004 · Bellevue, Wa
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to C••••••• P•••••••left Nov 15, 2017, registered Aug 29, 2023 (2113 days) · Wirehouse to independent RIA
- S••••• W••••• A•••••••• I••• to J••• M••••• S••••••••• L••left Jun 3, 2014, registered Jun 2, 2014 (-1 days) · Other
- C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••left Dec 31, 2011, registered Jan 3, 2012 (3 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to C•••••• S••••• • C••• I•••left Mar 12, 2009, registered Mar 31, 2009 (19 days) · Other
- W•••••• • R••• to L•• F•••••••• L••left Apr 10, 2008, registered Jul 30, 2008 (111 days) · Other
- L•• F•••••••• L•• to W•••••• • R•••left Dec 15, 2005, registered Dec 19, 2005 (4 days) · Other
- M•• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Mar 4, 2004, registered May 20, 2005 (442 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address