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

L••• R•••••• P•••••

E•••••• A••••••• G••••• L••BD affiliatedGreenwood Village, Co dual registrantIAPD 1649018

Feed of 09/15/2026

At current firm

1 y

since Jan 13, 2025

In the industry

24 y

since Jan 9, 2002 (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

E•••••• A••••••• G••••• L•• BD affiliated current
since Jan 13, 2025 · Bonita Springs, Fl
E•••••• F•••••••• E•••••• independent RIA
Jan 12, 2024 to Sep 13, 2024 · Fort Myers, Fl
F•••••• I••••••••• S••••••••• L•• independent RIA
Aug 6, 2021 to Aug 22, 2022 · Estero, Fl
A•••••• C•••••• P••••••• L•• independent RIA
Apr 11, 2013 to Nov 20, 2019 · Naples, Fl
C•••••••• M••••••••• G•••• former
Jan 9, 2002 to Jan 7, 2011 · Irving, Tx

Moves

a registration end followed by a registration begin elsewhere

E•••••• F•••••••• E•••••• to E•••••• A••••••• G••••• L••
left Sep 13, 2024, registered Jan 13, 2025 (122 days) · RIA to affiliated broker-dealer or bank
F•••••• I••••••••• S••••••••• L•• to E•••••• F•••••••• E••••••
left Aug 22, 2022, registered Jan 12, 2024 (508 days) · RIA to RIA
A•••••• C•••••• P••••••• L•• to F•••••• I••••••••• S••••••••• L••
left Nov 20, 2019, registered Aug 6, 2021 (625 days) · RIA to RIA
C•••••••• M••••••••• G•••• to A•••••• C•••••• P••••••• L••
left Jan 7, 2011, registered Apr 11, 2013 (825 days) · Other

Signals

L••• R•••••• P••••• left E•••••• F•••••••• E•••••• for E•••••• A••••••• G••••• L•• (registered 2025-01-13)
Sep 13, 2024 · Advisor changed firm · fact
L••• R•••••• P••••• left F•••••• I••••••••• S••••••••• L•• for E•••••• F•••••••• E•••••• (registered 2024-01-12)
Aug 22, 2022 · Advisor changed firm · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address