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M••••••• M• O••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

M••••••• M• O••••

Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••

LITTLETON, CO

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Search this name across graphsid dfx:ria:4a7c444d-ed02-ee80-acc6-1bbb828ca0a4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 26, 1999 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: C•••••••• I••••••••• R••••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 28, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms

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
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Aug 28, 2009	n/a	yes	LITTLETON, CO	Current employment
W••••••••• F•••••••• G••••• I•••	n/a	Jan 3, 2006	Aug 31, 2009	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
W••••••••• F•••••••• G••••• I•••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Aug 31, 2009	Aug 28, 2009	-3	Firm change	Other
E•• F•••••••• G••••	W••••••••• F•••••••• G••••• I•••	Dec 31, 2005

Relationships

Registered with (3)

→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: current employment
Aug 28, 2009 to presentfactForm ADV
→ W••••••••• F•••••••• G••••• I•••Registered adviserregistration: previous registration
Jan 3, 2006 to Aug 31, 2009factForm ADV
→ E•• F•••••••• G••••Registered adviserregistration: previous registration
Jul 26, 1999 to Dec 31, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4a7c444d-ed02-ee80-acc6-1bbb828ca0a4
First observed: Jul 26, 1999
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.