DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

T••• A•••• T••••••••

Advisor at C••••• I••••••••• A••••••• L••

Albrightsville, PA | GREENWOOD VILLAGE, CO

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Search this name across graphsid dfx:ria:54f44662-b410-0aa9-16e5-124ac58df634

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 26, 2015 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 3, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jun 29, 2023	n/a	yes	Albrightsville, PA\|GREENWOOD VILLAGE, CO	Current employment
V•• A••••••• S•••••••	Former SEC adviser	Sep 2, 2016	Nov 2, 2016	no	GREENWOOD VILLAGE, CO\|OVERLAND PARK, KS

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••• F•••••••• G•••• I••	V•• A••••••• S•••••••	May 20, 2021	Sep 2, 2016	-1,721	Firm change after gap	Other
V•• A••••••• S•••••••	C••••• I••••••••• A••••••• L••	Nov 2, 2016	Jun 29, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
109485:14503:CO:2021-05-20	May 20, 2021	Sep 2, 2016	GREENWOOD VILLAGE, CO	Firm change after gap
14503:105644:KS:2016-11-02	Nov 2, 2016	Jun 29, 2023	OVERLAND PARK, KS	Firm change after gap

Relationships

Registered with (3)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ S••••• F•••••••• G•••• I••Registered adviserregistration: previous registration
Sep 1, 2016 to May 20, 2021factForm ADV
→ V•• A••••••• S•••••••Registered adviserregistration: previous registration
Sep 2, 2016 to Nov 2, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:54f44662-b410-0aa9-16e5-124ac58df634
First observed: Jun 26, 2015
Last observed: Sep 15, 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.