DFX Intelligence

W•••• H•••• E•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

W•••• H•••• E•••••

Advisor at C•••••• S••••• • C••• I•••

Castle Rock, CO | Boston, MA

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Search this name across graphsid dfx:ria:a390e528-98d3-7fc5-a10e-ffa27bd32053

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 10, 2017 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: C•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jun 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Jan 25, 2022	n/a	yes	Castle Rock, CO\|Boston, MA	Current employment
C•••••• S••••• I••••••••• A•••••••• I••	Former SEC adviser	Feb 8, 2021	Jan 25, 2022	no	Plano, TX\|LONE TREE, CO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• S••••• I••••••••• A•••••••• I••	C•••••• S••••• • C••• I•••	Jan 25, 2022	Jan 25, 2022	0	Channel change	Ibd to ibd
C•••••• S••••• I••••••••• M••••••••• I••	C•••••• S••••• I••••••••• A•••••••• I••	Feb 8, 2021	Feb 8, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
151739:5393:CO:2022-01-25	Jan 25, 2022	Jan 25, 2022	LONE TREE, CO	Firm change

Relationships

Registered with (4)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Jan 25, 2022 to presentfactForm ADV
→ C•••••• S••••• I••••••••• A•••••••• I••Registered adviserregistration: previous registration
Feb 8, 2021 to Jan 25, 2022factForm ADV
→ C•••••• S••••• I••••••••• M••••••••• I••Registered adviserregistration: previous registration
Jul 1, 2020 to Feb 8, 2021factForm ADV
→ W••••• S••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a390e528-98d3-7fc5-a10e-ffa27bd32053
First observed: Jan 10, 2017
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.