DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

S••• M••••• G•••••

Advisor at C•••••• S••••• • C••• I•••

Lone Tree, 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:4b98b669-3739-0c93-a505-5a3dcb571047

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 10, 2005 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•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Nov 24, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom 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
C•••••• S••••• • C••• I•••	National bd RIA	Jan 9, 2022	n/a	yes	Lone Tree, CO	Current employment
A••••• A•• P••••••• S•••••••	Bd affiliated wealth	Dec 22, 2020	Nov 24, 2021	no	DENVER, CO	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••• A•• P••••••• S•••••••	C•••••• S••••• • C••• I•••	Nov 24, 2021	Jan 9, 2022	46	Firm change	Ibd to ibd
F••••••• P••••••• A•• W•••••••• A•••••••	A••••• A•• P••••••• S•••••••	Apr 14, 2020	Dec 22, 2020

Team moves

••• Locked

Team	Left	Joined	From	Kind
20472:5393:CO:2021-11-16	Nov 24, 2021	Jan 9, 2022	DENVER, CO	Firm change

Relationships

Registered with (5)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Jan 9, 2022 to presentfactForm ADV
→ A••••• A•• P••••••• S•••••••Registered adviserregistration: previous registration
Dec 22, 2020 to Nov 24, 2021factForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Jul 13, 2018 to Apr 14, 2020factForm ADV
→ S•••••••• A••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4b98b669-3739-0c93-a505-5a3dcb571047
First observed: Mar 10, 2005
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.