DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)27 years in industry

R••• D••••• L••••••••

Advisor at U•• F•••••••• S••••••• I•••

BOULDER, CO

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Search this name across graphsid dfx:ria:8050423d-7fda-10a2-37af-2c3791540500

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Oct 5, 2001 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: U•• F•••••••• S••••••• I•••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Jul 22, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Jun 7, 2024	n/a	yes	BOULDER, CO	Current employment
M••••• S••••••	Wirehouse	May 16, 2011	Jun 13, 2024	no	Boulder, CO	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	U•• F•••••••• S••••••• I•••	Jun 13, 2024	Jun 7, 2024	-6	Firm change	Wirehouse to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	M••••• S••••••	May 18, 2011	May 16, 2011

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:8174:CO:2024-06-13	Jun 13, 2024	Jun 7, 2024	BOULDER, CO	Firm change

Relationships

Registered with (5)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Jun 7, 2024 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
May 16, 2011 to Jun 13, 2024factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Sep 3, 2004 to May 18, 2011factForm ADV
→ R••••• W• B•••• • C•• I•••••••••

Dated events

Occurred
Jun 13, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8050423d-7fda-10a2-37af-2c3791540500
First observed: Oct 5, 2001
Last observed: Sep 14, 2026 9 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.