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

S••• D••••• J•••••

C••••• I••••••••• A••••••• L••BD affiliatedColorado Springs, Codual registrantIAPD 7301259

Certified Financial Planner

Feed of 09/14/2026

Also filed as S••• D••••• J•••••

At current firm

0 y

since Nov 21, 2025

In the industry

10 y

since Sep 1, 2016 (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••••••••• A••••••• L•• BD affiliated current
since Nov 21, 2025 · Colorado Springs, Co
T•• I•••••••• independent RIA
Apr 8, 2025 to Jan 14, 2026 · Colorado Springs, Co
S•••••••• A••••••• L•• national BD
Mar 31, 2025 to Apr 10, 2025 · Boston, Ma
F••••••• P••••••• A•• W•••••••• A••••••• former
Jan 7, 2021 to Mar 31, 2025 · Greenwood Village, Co

Moves

a registration end followed by a registration begin elsewhere

T•• I•••••••• to C••••• I••••••••• A••••••• L••
left Jan 14, 2026, registered Nov 21, 2025 (-54 days) · RIA to affiliated broker-dealer or bank
S•••••••• A••••••• L•• to T•• I••••••••
left Apr 10, 2025, registered Apr 8, 2025 (-2 days) · Affiliated broker-dealer or bank to independent RIA
F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move

Signals

S••• D••••• J••••• left T•• I•••••••• for C••••• I••••••••• A••••••• L•• (registered 2025-11-21)
Jan 14, 2026 · Advisor changed firm · fact
S••• D••••• J••••• left S•••••••• A••••••• L•• for T•• I•••••••• (registered 2025-04-08)
Apr 10, 2025 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address