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••••

D••••••••• I•••state registeredReno, NvIA-onlyIAPD 6253636

Feed of 09/14/2026

Also filed as C••• J•••• S••••

At current firm

0 y

since Oct 3, 2025

In the industry

12 y

since Dec 6, 2013 (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

D••••••••• I••• state registered current
since Oct 3, 2025 · Reno, Nv
C•••• C•••• F•••••••• M••••••••• L•• independent RIA
Oct 4, 2021 to Oct 20, 2023 · Lakewood, Co
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Dec 19, 2018 to Nov 7, 2019 · Denver, Co
C••••• A••••••• L•• former
Mar 13, 2017 to Apr 25, 2018 · San Diego, Ca
M•• F•••••••• S•••••••• I••• former
Aug 18, 2015 to Mar 3, 2017 · San Diego, Ca
E••••• J•••• national BD
Dec 9, 2013 to Apr 27, 2015 · St Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

C•••• C•••• F•••••••• M••••••••• L•• to D••••••••• I•••
left Oct 20, 2023, registered Oct 3, 2025 (714 days) · RIA to a state-registered adviser
N••••••••• M••••• I••••••••• S••••••••• to C•••• C•••• F•••••••• M••••••••• L••
left Nov 7, 2019, registered Oct 4, 2021 (697 days) · Other
C••••• A••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••
left Apr 25, 2018, registered Dec 19, 2018 (238 days) · Other
M•• F•••••••• S•••••••• I••• to C••••• A••••••• L••
left Mar 3, 2017, registered Mar 13, 2017 (10 days) · Other
E••••• J•••• to M•• F•••••••• S•••••••• I•••
left Apr 27, 2015, registered Aug 18, 2015 (113 days) · Other

Signals

C••• J•••• S•••• left C•••• C•••• F•••••••• M••••••••• L•• for D••••••••• I••• (registered 2025-10-03)
Oct 20, 2023 · 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: STATE REGISTEREDderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address