DFX Intelligence

Data Factory

M•••••• T••••• O•••••: 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 / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)15 years in industry

M•••••• T••••• O•••••

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:62be59fe-8c47-fa88-69d1-5e1a5303a49e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 5, 2011 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 21, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 5derivedfrom 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
C•••••• S••••• • C••• I•••	National bd RIA	Mar 23, 2021	n/a	yes	Lone Tree, CO	Current employment
S••••• W••••• A•••••••• I•••	No RAUM reported	Dec 6, 2013	Apr 23, 2015	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
S••••• W••••• A•••••••• I•••	C•••••• S••••• • C••• I•••	Apr 23, 2015	Mar 23, 2021	2,161	Channel change	Other
M• J• S•••• A•• A•••••••••	S••••• W••••• A•••••••• I•••	Nov 22, 2013

Relationships

Registered with (4)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Mar 23, 2021 to presentfactForm ADV
→ S••••• W••••• A•••••••• I•••Registered adviserregistration: previous registration
Dec 6, 2013 to Apr 23, 2015factForm ADV
→ M• J• S•••• A•• A•••••••••Registered adviserregistration: previous registration
Dec 14, 2012 to Nov 22, 2013factForm ADV
→ F•••• C•••••• F•••••••• P•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:62be59fe-8c47-fa88-69d1-5e1a5303a49e
First observed: Apr 5, 2011
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.