DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)51 years in industry

R••••• W• C•••••

Advisor at M••••••• I••••••••• M••••••••• L••

GREENWOOD VILLAGE, CO | Las Cruces, NM

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Search this name across graphsid dfx:ria:a15ce469-092a-15c0-848c-e813f8b8aafc

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Oct 25, 2006 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: M••••••• I••••••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 1, 1975earliest registration or exam on IAPD
Years in industry: 51derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M••••••• I••••••••• M••••••••• L••	Independent wealth	Sep 6, 2016	n/a	yes	Las Cruces, NM\|GREENWOOD VILLAGE, CO	Current employment
O•••• W•••••• I•••	Bd affiliated wealth	Oct 25, 2006	Sep 9, 2016	no	LAS CRUCES, NM\|LAKEWOOD, CO\|DENVER, CO\|DENVER, CO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• W•••••• I•••	M••••••• I••••••••• M••••••••• L••	Sep 9, 2016	Sep 6, 2016	-3	Firm change	Other

Relationships

Registered with (2)

→ M••••••• I••••••••• M••••••••• L••Registered adviserregistration: current employment
Sep 6, 2016 to presentfactForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Oct 25, 2006 to Sep 9, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a15ce469-092a-15c0-848c-e813f8b8aafc
First observed: Oct 25, 2006
Last observed: Sep 15, 2026 7 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.