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R••• D•••••• P•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultant25 years in industry

R••• D•••••• P•••••

Advisor at S••••••• P••••

GLENWOOD SPRINGS, CO

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Search this name across graphsid dfx:ria:10533c71-8948-e86d-0625-87155bb81c6b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Apr 7, 2004 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: S••••••• P••••
Current firm class: former SEC adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 18, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 1

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
S••••••• P••••	Former SEC adviser	Oct 7, 2021	n/a	yes	GLENWOOD SPRINGS, CO	Current employment
S•••• F••• I••••••••• M••••••••• C••••	Asset manager	Apr 7, 2004	Oct 4, 2007	no

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
S•••• F••• I••••••••• M••••••••• C••••	S••••••• P••••	Oct 4, 2007	Oct 7, 2021	5,117	Firm change after gap	Other

Relationships

Registered with (2)

→ S••••••• P••••Registered adviserregistration: current employment
Oct 7, 2021 to presentfactForm ADV
→ S•••• F••• I••••••••• M••••••••• C••••Registered adviserregistration: previous registration
Apr 7, 2004 to Oct 4, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:10533c71-8948-e86d-0625-87155bb81c6b
First observed: Apr 7, 2004
Last observed: Sep 14, 2026 8 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.