DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

ALECIA DAWN WELLEN

Advisor at ALPS ADVISORS, INC.

DENVER, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:01de41b4-2e05-6afe-272c-a5b267861a33

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 26, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ALPS ADVISORS, INC.
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 24, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jun 24, 2006
First registration: Jun 26, 2006
Dual registered: yes, broker-dealer
Other names: ALECIA DAWN STAPLES
IAPD individual key: 4846551

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ALPS ADVISORS, INC.	Asset manager	May 27, 2015	n/a	yes	DENVER, CO	Current employment
CHARLES SCHWAB & CO., INC.	National bd RIA	Jul 2, 2014	May 21, 2015	no	ENGLEWOOD, CO\|Lone Tree, CO	Previous registration
ALPS ADVISORS, INC.	Asset manager	Aug 20, 2009	May 30, 2014	no	DENVER, CO	Previous registration
CETERA ADVISORS LLC	Former SEC adviser	Mar 20, 2008	Aug 17, 2009	no	GREENWOOD VILLAGE, CO	Previous registration
STANFORD GROUP COMPANY	n/a	Sep 19, 2006	Feb 29, 2008	no	DENVER, CO	Previous registration
ROBERT W. BAIRD & CO. INCORPORATED	Mixed wealth	Jun 26, 2006	Sep 18, 2006	no	BOULDER, CO\|Boulder, CO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CHARLES SCHWAB & CO., INC.	ALPS ADVISORS, INC.	May 21, 2015	May 27, 2015	6	Firm change	Other
ALPS ADVISORS, INC.	CHARLES SCHWAB & CO., INC.	May 30, 2014	Jul 2, 2014	33	Firm change	Other
CETERA ADVISORS LLC	ALPS ADVISORS, INC.	Aug 17, 2009	Aug 20, 2009	3	Firm change	Other
STANFORD GROUP COMPANY	CETERA ADVISORS LLC	Feb 29, 2008	Mar 20, 2008	20	Firm change	Other
ROBERT W. BAIRD & CO. INCORPORATED	STANFORD GROUP COMPANY	Sep 18, 2006	Sep 19, 2006	1	Firm change	Other

Relationships

Registered with (5)

→ ALPS ADVISORS, INC.Registered adviserregistration: previous registration
Aug 20, 2009 to May 30, 2014factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Jul 2, 2014 to May 21, 2015factForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Mar 20, 2008 to Aug 17, 2009factForm ADV
→ STANFORD GROUP COMPANYRegistered adviserregistration: previous registration
Sep 19, 2006 to Feb 29, 2008factForm ADV
→ ROBERT W. BAIRD & CO. INCORPORATEDRegistered adviserregistration: previous registration
Jun 26, 2006 to Sep 18, 2006factForm ADV

Dated events

No dated event names this entity yet.