DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultant16 years in industry

S••••• W•••••• H•••

Advisor at S••••

Denver, CO | NEW YORK, NY

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:a5a24c24-7ccf-f5b2-9191-844e92298e85

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 10, 2012 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: S••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 17, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••	Independent wealth	Nov 17, 2025	n/a	yes	Denver, CO\|NEW YORK, NY	Current employment
C••••••• W••••• G•••• L••	Former SEC adviser	Aug 14, 2020	Mar 31, 2026	no	DENVER, CO\|DENVER, CO	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••• W••••• G•••• L••	S••••	Mar 31, 2026	Nov 17, 2025	-134	Firm change after gap	RIA to RIA
M•• I•••••••• S•••••••• L••	C••••••• W••••• G•••• L••	Aug 14, 2020	Aug 14, 2020

Team moves

••• Locked

Team	Left	Joined	From	Kind
310024:318493:CO:2026-03-31	Mar 31, 2026	Nov 17, 2025	DENVER, CO	Firm change after gap
10409:310024:CO:2020-08-14	Aug 14, 2020	Aug 14, 2020	DENVER, CO	Firm change

Relationships

Registered with (4)

→ S••••Registered adviserregistration: current employment
Nov 17, 2025 to presentfactForm ADV
→ C••••••• W••••• G•••• L••Registered adviserregistration: previous registration
Aug 14, 2020 to Mar 31, 2026factForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Apr 10, 2015 to Aug 14, 2020factForm ADV
→ N••••••••• M••••• I••••••••• S•••••••••

Dated events

Occurred
Mar 31, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a5a24c24-7ccf-f5b2-9191-844e92298e85
First observed: Aug 10, 2012
Last observed: Sep 15, 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.