A•• C••••

Advisor at W•••• F•••• A•••••••

LAKEWOOD, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:f3996c4c-f2a5-2bfc-8161-38b1e106e9d8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 24, 2009 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: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Mar 24, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Mar 26, 2026	n/a	yes	LAKEWOOD, CO	Current employment
C•••• I••••••••• S••••••• C••••	Former SEC adviser	May 13, 2010	Jul 7, 2011	no	HIGHLANDS RANCH, CO	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••• I••••••••• S••••••• C••••	W•••• F•••• A•••••••	Jul 7, 2011	Mar 26, 2026	5,376	Firm change after gap	Other
E••••• J••••	C•••• I••••••••• S••••••• C••••	Apr 29, 2009	May 13, 2010

Relationships

Registered with (3)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Mar 26, 2026 to presentfactForm ADV
→ C•••• I••••••••• S••••••• C••••Registered adviserregistration: previous registration
May 13, 2010 to Jul 7, 2011factForm ADV
→ E••••• J••••Registered adviserregistration: previous registration
Mar 24, 2009 to Apr 29, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f3996c4c-f2a5-2bfc-8161-38b1e106e9d8
First observed: Mar 24, 2009
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.