DFX Intelligence

C••• L••••• C••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor28 years in industry

C••• L••••• C••••

Advisor at A•••••••• P•••••••• L••

••• Locked

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 2
Observed: Jan 12, 1999 to Sep 15, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Real Estate Fundsidentity

C••• L••••• C••••

Real estate principal · key_crd_individual, shared_individual_crd

Private Equityidentity

C••• L••••• C••••

Private equity principal · key_crd_individual, shared_individual_crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: A•••••••• P•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 9, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A•••••••• P•••••••• L••	Independent wealth	Jan 31, 2024	n/a	yes	Midland, TX\|HOUSTON, TX\|Monument, CO	Current employment
S••••• C•••••• P•••••••• L••	Former SEC adviser	May 4, 2012	Apr 15, 2025	no	MIDLAND, TX\|Colorado Springs, CO\|COLORADO SPRINGS, CO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••• C•••••• P•••••••• L••	A•••••••• P•••••••• L••	Apr 15, 2025	Jan 31, 2024	-440	Firm change after gap	Other
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	S••••• C•••••• P•••••••• L••	May 8, 2012	May 4, 2012

Relationships

Registered with (3)

→ A•••••••• P•••••••• L••Registered adviserregistration: current employment
Jan 31, 2024 to presentfactForm ADV
→ S••••• C•••••• P•••••••• L••Registered adviserregistration: previous registration
May 4, 2012 to Apr 15, 2025factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Jan 12, 1999 to May 8, 2012factForm ADV

Dated events

Order

Occurred
15 Apr 2025
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 12, 1999
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.