DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)43 years in industry

P••• C•••••••• S•••••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

GREENWOOD VILLAGE, CO | Clark, CO

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Search this name across graphsid dfx:ria:bca9167a-27d4-b3b2-7fc3-901a5ef04374

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Feb 21, 2012 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•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jul 25, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Mar 27, 2019	n/a	yes	GREENWOOD VILLAGE, CO\|Clark, CO	Current employment
T••••• W••••• P••••••• L••	Former SEC adviser	Feb 21, 2012	Mar 28, 2012	no	BALTIMORE, MD\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|CHICAGO, IL\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|INDEPENDENCE, OH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T••••• W••••• P••••••• L••	S•••••• N••••••• • C••••••• I•••••••••	Mar 28, 2012	Mar 27, 2019	2,555	Channel change	Other

Relationships

Registered with (2)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Mar 27, 2019 to presentfactForm ADV
→ T••••• W••••• P••••••• L••Registered adviserregistration: previous registration
Feb 21, 2012 to Mar 28, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bca9167a-27d4-b3b2-7fc3-901a5ef04374
First observed: Feb 21, 2012
Last observed: Sep 14, 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.