DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

S••••• I• W•••••

Advisor at W•••••• W••••• M••••••••• L••

GOLDEN, CO

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Search this name across graphsid dfx:ria:add88dcc-568d-dc2c-f287-b61db11e0e21

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: May 3, 2021 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: W•••••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 1, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••••• W••••• M••••••••• L••	Independent wealth	Apr 23, 2025	n/a	yes	GOLDEN, CO	Current employment
T• A••••••••• I••••••••• M••••••••• L••	Former SEC adviser	Jul 14, 2022	Sep 7, 2023	no	Denver, CO\|Lone Tree, CO\|Denver, CO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• S••••• • C••• I•••	T• A••••••••• I•••	Jan 11, 2024	Jul 14, 2022	-546	Firm change after gap	Other
T• A••••••••• I••••••••• M••••••••• L••	W•••••• W••••• M••••••••• L••	Sep 7, 2023	Apr 23, 2025

Relationships

Registered with (4)

→ W•••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Apr 23, 2025 to presentfactForm ADV
→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
May 3, 2021 to Jan 11, 2024factForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Jul 14, 2022 to Sep 7, 2023factForm ADV
→ T• A••••••••• I•••

Dated events

Occurred
Jan 11, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 7, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:add88dcc-568d-dc2c-f287-b61db11e0e21
First observed: May 3, 2021
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.