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

J••••• N•••••••• W•••

C•••••• S••••• • C••• I•••national BDLone Tree, Codual registrantIAPD 5573648

Feed of 09/14/2026

At current firm

1 y

since Jun 11, 2025

In the industry

15 y

since Apr 11, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, 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•••••• S••••• • C••• I••• national BD current
since Jun 11, 2025 · Lone Tree, Co
A••••••••• F•••••••• S•••••••• L•• national BD
Aug 25, 2022 to Jun 8, 2025 · Minneapolis, Mn
C••••• I••••••••• A••••••• L•• BD affiliated
Jan 25, 2021 to Aug 10, 2022 · Schaumburg, Il
T• A••••••••• I••••••••• M••••••••• L•• former
Mar 5, 2018 to Jan 13, 2021 · Denver, Co
T• A••••••••• I••• former
Mar 5, 2018 to Jan 13, 2021 · Omaha, Ne
S•••••••• I••••••••• M••••••••• former
Jun 6, 2017 to Mar 7, 2018 · Saint Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to C•••••• S••••• • C••• I•••
left Jun 8, 2025, registered Jun 11, 2025 (3 days) · Affiliated broker-dealer or bank to another
C••••• I••••••••• A••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Aug 10, 2022, registered Aug 25, 2022 (15 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••••••••• M••••••••• L•• to C••••• I••••••••• A••••••• L••
left Jan 13, 2021, registered Jan 25, 2021 (12 days) · RIA to affiliated broker-dealer or bank
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Jan 13, 2021, registered Mar 5, 2018 (-1045 days) · channel change inside one enterprise, not a move
S•••••••• I••••••••• M••••••••• to T• A••••••••• I•••
left Mar 7, 2018, registered Mar 5, 2018 (-2 days) · channel change inside one enterprise, not a move

Signals

J••••• N•••••••• W••• left A••••••••• F•••••••• S•••••••• L•• for C•••••• S••••• • C••• I••• (registered 2025-06-11)
Jun 8, 2025 · Advisor changed firm · fact
J••••• N•••••••• W••• left C••••• I••••••••• A••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-08-25)
Aug 10, 2022 · 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: National broker-dealer RIAderived
Years in industry: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address