DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

W•••••• A• N••••

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

ENGLEWOOD, CO | Lone Tree, CO

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Data as of Sep 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 1, 1999 to Sep 22, 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: Jan 12, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jun 29, 2023	n/a	yes	ENGLEWOOD, CO\|Lone Tree, CO	Current employment
W••••• S••••• S••••••••• I•••	Former SEC adviser	Dec 13, 2005	Sep 3, 2013	no	HIGHLANDS RANCH, CO\|HIGHLANDS RANCH, CO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••• S••••• S••••••••• I•••	C••••• I••••••••• A••••••• L••	Sep 3, 2013	Jun 29, 2023	3,586	Firm change after gap	Other
W••••• S••••• A••••••• I••	W••••• S••••• S••••••••• I•••	Nov 2, 2006	Dec 13, 2005

Relationships

Registered with (3)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ W••••• S••••• S••••••••• I•••Registered adviserregistration: previous registration
Dec 13, 2005 to Sep 3, 2013factForm ADV
→ W••••• S••••• A••••••• I••Registered adviserregistration: previous registration
Dec 1, 1999 to Nov 2, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 1, 1999
Last observed: Sep 22, 2026 44 h 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.