DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

T••• C•••••••• S••••

Advisor at I••••••••• R••••••• C•••

Silverton, OR | DENVER, CO

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 19, 2000 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: I••••••••• R••••••• C•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 9, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I••••••••• R••••••• C•••	Independent wealth	Feb 14, 2017	n/a	yes	DENVER, CO\|Silverton, OR	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Oct 26, 2009	Feb 6, 2017	no	ALBUGUERQUE, NM\|SAN DIEGO, CA\|ALBUQUERQUE, NM\|ALBUQUERQUE, NM

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	I••••••••• R••••••• C•••	Feb 6, 2017	Feb 14, 2017	8	Firm change	Other
M••••• S••••••	L•• F•••••••• L••	Oct 23, 2009	Oct 26, 2009

Relationships

Registered with (6)

→ I••••••••• R••••••• C•••Registered adviserregistration: current employment
Feb 14, 2017 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Oct 26, 2009 to Feb 6, 2017factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Oct 23, 2009factForm ADV
→ M••••• S•••••• • C•• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 19, 2000
Last observed: Sep 15, 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.