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

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

D•••• R••••• M••••

Advisor at S••••••• S••••• F•••••••• C•••••••••

DENVER, CO

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Search this name across graphsid dfx:ria:4a8707dc-b617-68b1-330f-d9481588e67e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Apr 14, 2003 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••••••• S••••• F•••••••• C•••••••••
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 28, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 0derivedfrom 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
S••••••• S••••• F•••••••• C•••••••••	State registered	Jul 28, 2026	n/a	yes	DENVER, CO	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Jan 16, 2007	Mar 3, 2010	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
L•• F•••••••• L••	S••••••• S••••• F•••••••• C•••••••••	Mar 3, 2010	Jul 28, 2026	5,991	Firm change after gap	Other
F••••••••• I••••••••• M••••••••• S•••••••• L••	L•• F•••••••• L••	May 5, 2005

Relationships

Registered with (3)

→ S••••••• S••••• F•••••••• C•••••••••Registered adviserregistration: current employment
Jul 28, 2026 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jan 16, 2007 to Mar 3, 2010factForm ADV
→ F••••••••• I••••••••• M••••••••• S•••••••• L••Registered adviserregistration: previous registration
Apr 14, 2003 to May 5, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4a8707dc-b617-68b1-330f-d9481588e67e
First observed: Apr 14, 2003
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.