DFX Intelligence

A•••••••• S••••••• H••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

A•••••••• S••••••• H••••••

Advisor at L••••••• S••••••••• C••••

Centennial, CO | ROCHESTER, NY

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Search this name across graphsid dfx:ria:34ea6f8b-b3ae-6fa9-19f7-8e120aee8c89

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: May 3, 2005 to Sep 15, 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: L••••••• S••••••••• C••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L••••••• S••••••••• C••••	Bd affiliated wealth	Dec 1, 2021	n/a	yes	Centennial, CO\|Centennial, CO\|ROCHESTER, NY	Current employment
B••• D••• W••••• M•••••••••	Former SEC adviser	Mar 30, 2017	Apr 4, 2018	no	Centennial, CO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••• D••• W••••• M•••••••••	L••••••• S••••••••• C••••	Apr 4, 2018	Dec 1, 2021	1,337	Firm change after gap	Other
V•••• C•••••• P•••••••• L••	B••• D••• W••••• M•••••••••	Feb 28, 2017	Mar 30, 2017

Relationships

Registered with (5)

→ L••••••• S••••••••• C••••Registered adviserregistration: current employment
Dec 1, 2021 to presentfactForm ADV
→ B••• D••• W••••• M•••••••••Registered adviserregistration: previous registration
Mar 30, 2017 to Apr 4, 2018factForm ADV
→ V•••• C•••••• P•••••••• L••Registered adviserregistration: previous registration
Jan 9, 2015 to Feb 28, 2017factForm ADV
→ P•••• S••••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:34ea6f8b-b3ae-6fa9-19f7-8e120aee8c89
First observed: May 3, 2005
Last observed: Sep 15, 2026 7 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.