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

C•••••• J••• S••••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedBrighton, Co dual registrantIAPD 4846068

Certified Financial Planner

Feed of 09/15/2026

At current firm

9 y

since Sep 18, 2017

In the industry

19 y

since Nov 10, 2006 (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

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Sep 18, 2017 · Wichita, Ks
G••••• W••••• M••••••••• I••• BD affiliated
Dec 6, 2016 to Dec 31, 2016 · Lone Tree, Co
A• • I• W••••• M••••••••• independent RIA
Jan 5, 2016 to Sep 19, 2017 · Englewood, Co
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Jan 29, 2009 to Jan 11, 2016 · Broomfield, Co
E••••• J•••• national BD
Mar 31, 2008 to Aug 26, 2008 · Tempe, Az
E••••• J•••• national BD
Nov 20, 2006 to Jan 7, 2008 · Broomfield, Co

Moves

a registration end followed by a registration begin elsewhere

A• • I• W••••• M••••••••• to G••••• W••••• M••••••••• I•••
left Sep 19, 2017, registered Dec 6, 2016 (-287 days) · Other
G••••• W••••• M••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Dec 31, 2016, registered Sep 18, 2017 (261 days) · Other
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to A• • I• W••••• M•••••••••
left Jan 11, 2016, registered Jan 5, 2016 (-6 days) · Other
E••••• J•••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
left Aug 26, 2008, registered Jan 29, 2009 (156 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address