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••••• D••••• C••••

W•••• F•••• A•••••••wirehouseDenver, Co dual registrantIAPD 6531139

Feed of 09/15/2026

At current firm

1 y

since Sep 5, 2025

In the industry

16 y

since Feb 1, 2010 (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

W•••• F•••• A••••••• wirehouse current
since Sep 5, 2025 · Greenwood Village, Co
R•• C•••••• M••••••• L•• national BD
Aug 17, 2022 to Sep 10, 2025 · Denver, Co
R•••••• J•••• • A••••••••• I••• national BD
Dec 6, 2016 to Aug 24, 2022 · Shreveport, La
A••••••••• F•••••••• S•••••••• L•• national BD
Nov 24, 2015 to Nov 4, 2016 · Shreveport, La

Moves

a registration end followed by a registration begin elsewhere

R•• C•••••• M••••••• L•• to W•••• F•••• A•••••••
left Sep 10, 2025, registered Sep 5, 2025 (-5 days) · Affiliated broker-dealer or bank to wirehouse
R•••••• J•••• • A••••••••• I••• to R•• C•••••• M••••••• L••
left Aug 24, 2022, registered Aug 17, 2022 (-7 days) · Affiliated broker-dealer or bank to another
A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• • A••••••••• I•••
left Nov 4, 2016, registered Dec 6, 2016 (32 days) · Affiliated broker-dealer or bank to another

Signals

J••••• D••••• C•••• left R•• C•••••• M••••••• L•• for W•••• F•••• A••••••• (registered 2025-09-05)
Sep 10, 2025 · Advisor changed firm · fact
J••••• D••••• C•••• left R•••••• J•••• • A••••••••• I••• for R•• C•••••• M••••••• L•• (registered 2022-08-17)
Aug 24, 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: Wirehousederived
Years in industry: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address