DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)26 years in industry

C••••••••• D••• M•••••••

Advisor at S•••••• S•••••••••

Westminster, CO | HOUSTON, TX

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:f709498e-dc90-0fbc-12fb-0513410fc54d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Oct 25, 2001 to Sep 15, 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: S•••••• S•••••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 21, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• S•••••••••	Bd affiliated wealth	Feb 21, 2019	n/a	yes	HOUSTON, TX\|Westminster, CO\|HOUSTON, TX	Current employment
F•••••••••	Mixed wealth	Jan 8, 2018	Nov 22, 2023	no	AURORA, CO\|LAKE MARY, FL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••••••••	S•••••• S•••••••••	Nov 22, 2023	Feb 21, 2019	-1,735	Firm change after gap	RIA to RIA
J••••••• C••••••• I•••	F•••••••••	Jun 30, 2018	Sep 27, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
140725:289193:CO:2018-06-30	Jun 30, 2018	Sep 27, 2017	DENVER, CO	Firm change after gap

Relationships

Registered with (6)

→ S•••••• S•••••••••Registered adviserregistration: current employment
Feb 21, 2019 to presentfactForm ADV
→ F•••••••••Registered adviserregistration: previous registration
Jan 8, 2018 to Nov 22, 2023factForm ADV
→ J••••••• C••••••• I•••Registered adviserregistration: previous registration
Mar 14, 2013 to Jun 30, 2018factForm ADV
→ E••••• I••••••••• A•••••••Registered adviser

Dated events

Occurred
Nov 22, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f709498e-dc90-0fbc-12fb-0513410fc54d
First observed: Oct 25, 2001
Last observed: Sep 15, 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.