DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

W•••• S•• H•••••••••

Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••

Golden, CO

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Apr 8, 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: C•••••••• I••••••••• R••••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 11, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Jul 15, 2021	n/a	yes	Golden, CO	Current employment
W•••••• W••••• M••••••••• L••	Independent wealth	Apr 8, 2021	Jun 21, 2021	no	GOLDEN, CO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••••• W••••• M••••••••• L••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Jun 21, 2021	Jul 15, 2021	24	Firm change	RIA to ibd
W•••••• W••••• M••••••••• L••	M••••••• W••••• M••••••••• L••	Jun 21, 2021	Apr 8, 2021

Relationships

Registered with (3)

→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: current employment
Jul 15, 2021 to presentfactForm ADV
→ M••••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Apr 8, 2021 to Jun 21, 2021factForm ADV
→ W•••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Apr 8, 2021 to Jun 21, 2021factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 8, 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.