DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)12 years in industry

N••• S•••••••••

Advisor at S•••••••• A••••••• L••

BROOMFIELD, CO | LAKEWOOD, CO

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Search this name across graphsid dfx:ria:a5e2b92a-6ac1-597f-6de9-54b4692785d5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Oct 19, 2018 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: S•••••••• A••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: May 16, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Mar 31, 2025	n/a	yes	LAKEWOOD, CO\|BROOMFIELD, CO	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	Nov 22, 2024	Mar 31, 2025	no	BROOMFIELD, CO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• P••••••• A•• W•••••••• A•••••••	S•••••••• A••••••• L••	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
C•••••• S••••• • C••• I•••	F••••••• P••••••• A•• W•••••••• A•••••••	Oct 15, 2024	Nov 22, 2024

Relationships

Registered with (6)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Nov 22, 2024 to Mar 31, 2025factForm ADV
→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
Apr 21, 2023 to Oct 15, 2024factForm ADV
→ S••••••• P•••••• W••••• G•••• L••

Dated events

Occurred
Oct 15, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 21, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 10, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a5e2b92a-6ac1-597f-6de9-54b4692785d5
First observed: Oct 19, 2018
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.