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A•• B••••• M•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

A•• B••••• M•••••••

Advisor at D••• D••••••• • C••

GRAND JUNCTION, CO

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Search this name across graphsid dfx:ria:d5f10caa-3447-7219-f170-c7baafcd109e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Sep 29, 2010 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: D••• D••••••• • C••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 5, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
D••• D••••••• • C••	Independent wealth	May 6, 2021	n/a	yes	GRAND JUNCTION, CO	Current employment
W•••• F•••• A•••••••	Wirehouse	May 30, 2014	May 12, 2021	no	GRAND JUNCTION, CO\|DENVER, CO\|GRAND JUNCTION, CO\|GREENWOOD VILLAGE, CO\|CLIFTON, CO\|PARACHUTE, CO\|GREENWOOD VILLAGE, CO\|GRAND JUNCTION, CO\|COLORADO SPRINGS, CO

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	D••• D••••••• • C••	May 12, 2021	May 6, 2021	-6	Firm change	Wirehouse to RIA
U••• B•••••• I••••••••• I•••	W•••• F•••• A•••••••	Jun 2, 2014

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
19616:199:CO:2021-05-12	May 12, 2021	May 6, 2021	COLORADO SPRINGS, CO	Firm change

Relationships

Registered with (3)

→ D••• D••••••• • C••Registered adviserregistration: current employment
May 6, 2021 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
May 30, 2014 to May 12, 2021factForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Sep 29, 2010 to Jun 2, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d5f10caa-3447-7219-f170-c7baafcd109e
First observed: Sep 29, 2010
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.