DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

S•••• B••••• L•••

C•••••• W••••• S••••••••• L••state registeredDenver, CoIA-onlyIAPD 1599468

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/14/2026

Also filed as S•••• Ann B•••••

At current firm

2 y

since Dec 6, 2023

In the industry

32 y

since Apr 13, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••• W••••• S••••••••• L•• state registered current
since Dec 6, 2023 · Denver, Co
K••••• A••••••• S•••••••• L•• BD affiliated
Apr 19, 2016 to May 2, 2023 · Denver, Co
N•• A•••••• S•••••••• L•• former
Feb 5, 2015 to Sep 22, 2016 · Denver, Co
N•• A•••••• S•••••••• L•• former
Jan 2, 2008 to Feb 4, 2015 · Denver, Co
V••• F•••••••• A•••••••• I••• BD affiliated
Jan 19, 1999 to Dec 31, 2007 · Denver, Co

Moves

a registration end followed by a registration begin elsewhere

K••••• A••••••• S•••••••• L•• to C•••••• W••••• S••••••••• L••
left May 2, 2023, registered Dec 6, 2023 (218 days) · Affiliated broker-dealer or bank to a state-registered adviser
N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••
left Sep 22, 2016, registered Apr 19, 2016 (-156 days) · corporate re-registration, not a move
V••• F•••••••• A•••••••• I••• to N•• A•••••• S•••••••• L••
left Dec 31, 2007, registered Jan 2, 2008 (2 days) · Other

Signals

S•••• B••••• L••• left K••••• A••••••• S•••••••• L•• for C•••••• W••••• S••••••••• L•• (registered 2023-12-06)
May 2, 2023 · a•••••• firm change · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: STATE REGISTEREDderived
Years in industry: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address