DFX Intelligence

R••••• F•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

R••••• F•••••••••

Advisor at R•• C•••••• M••••••• L••

DENVER, CO | Denver, CO

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Search this name across graphsid dfx:ria:e0e11e3f-3a29-7fe6-2bf9-f08753cddb54

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Mar 6, 2003 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: R•• C•••••• M••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Mar 4, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• C•••••• M••••••• L••	National bd RIA	Apr 28, 2026	n/a	yes	Denver, CO\|DENVER, CO	Current employment
S•• W•••••	Independent wealth	Dec 13, 2022	Apr 17, 2026	no	Denver, CO	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•• W•••••	R•• C•••••• M••••••• L••	Apr 17, 2026	Apr 28, 2026	11	Firm change	RIA to ibd
M••••• S••••••	S•• W•••••	Aug 3, 2022	Dec 13, 2022

Relationships

Registered with (4)

→ R•• C•••••• M••••••• L••Registered adviserregistration: current employment
Apr 28, 2026 to presentfactForm ADV
→ S•• W•••••Registered adviserregistration: previous registration
Dec 13, 2022 to Apr 17, 2026factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Apr 16, 2020 to Aug 3, 2022factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Occurred
Apr 17, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Aug 3, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e0e11e3f-3a29-7fe6-2bf9-f08753cddb54
First observed: Mar 6, 2003
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.