DFX Intelligence

D••••• S•••• M••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)22 years in industry

D••••• S•••• M••••••

Advisor at A••••••••• L••

Castle Rock, CO | AUSTIN, TX

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Search this name across graphsid dfx:ria:dc7dc571-e6d4-906d-6dca-ad42842cdac3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Jun 15, 2007 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: A••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 28, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• L••	Independent wealth	Jul 1, 2026	n/a	yes	Castle Rock, CO\|AUSTIN, TX	Current employment
C••••••••• F•••••••• N••••••	National bd RIA	Nov 25, 2022	Jul 1, 2026	no	SAN DIEGO, CA\|Castle Rock, CO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• F•••••••• N••••••	A••••••••• L••	Jul 1, 2026	Jul 1, 2026	0	Firm change	Ibd to RIA
S••••• W••••• A•••••••• I•••	C••••••••• F•••••••• N••••••	Dec 8, 2022	Nov 25, 2022

Relationships

Registered with (6)

→ A••••••••• L••Registered adviserregistration: current employment
Jul 1, 2026 to presentfactForm ADV
→ C••••••••• F•••••••• N••••••Registered adviserregistration: previous registration
Nov 25, 2022 to Jul 1, 2026factForm ADV
→ S••••• W••••• A•••••••• I•••Registered adviserregistration: previous registration
Sep 13, 2012 to Dec 8, 2022factForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••

Dated events

Occurred
Jul 1, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Dec 8, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dc7dc571-e6d4-906d-6dca-ad42842cdac3
First observed: Jun 15, 2007
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.