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••••• W•••

R••••• C•••••• S•••••••••independent RIAEnglewood, CoIA-onlyIAPD 4986685

Certified Financial Planner

Feed of 09/14/2026

Also filed as C•••••••• J W•••

At current firm

1 y

since Mar 12, 2025

In the industry

17 y

since Mar 10, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R••••• C•••••• S••••••••• independent RIA current
since Mar 12, 2025 · Englewood, Co
R••••••• former
Jan 31, 2024 to Mar 11, 2025 · Evergreen, Co
C•••••• S••••• • C••• I••• national BD
Jan 31, 2022 to Jan 11, 2024 · Denver, Co
T• A••••••••• I••••••••• M••••••••• L•• former
Apr 5, 2016 to Sep 7, 2023 · Denver, Co
T• A••••••••• I••• former
Apr 5, 2016 to Oct 14, 2022 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

R••••••• to R••••• C•••••• S•••••••••
left Mar 11, 2025, registered Mar 12, 2025 (1 days) · RIA to a newly registered adviser
C•••••• S••••• • C••• I••• to R•••••••
left Jan 11, 2024, registered Jan 31, 2024 (20 days) · Affiliated broker-dealer or bank to independent RIA
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Sep 7, 2023, registered Jan 31, 2022 (-584 days) · corporate re-registration, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 14, 2022, registered Apr 5, 2016 (-2383 days) · corporate re-registration, not a move

Signals

C•••••••• J••••• W••• left Risemint for R••••• C•••••• S••••••••• (registered 2025-03-12)
Mar 11, 2025 · Advisor changed firm · fact
C•••••••• J••••• W••• left C•••••• S••••• • C••• I••• for Risemint (registered 2024-01-31)
Jan 11, 2024 · 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: Independent wealth managerderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address