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

R••••••• S••••• P••••••

L•• F•••••••• L••BD affiliatedDenver, Codual registrantIAPD 1956885

Feed of 09/14/2026

Also filed as R••••••• S P••••••

At current firm

4 y

since Mar 21, 2022

In the industry

37 y

since Jul 25, 1989 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Mar 21, 2022 · Denver, Co
F•••• F•••••••• E••••• C••••••••• former
Jan 16, 2009 to Apr 4, 2022 · Scottsdale, Az
A••••••••• A•••••• S•••••••• I••• unclassified
Jul 25, 2005 to Jan 22, 2009 · Denver, Co
M••••• S•••••• D• I••• unclassified
Jan 1, 1999 to Jul 27, 2005 · Denver, Co

Moves

a registration end followed by a registration begin elsewhere

F•••• F•••••••• E••••• C••••••••• to L•• F•••••••• L••
left Apr 4, 2022, registered Mar 21, 2022 (-14 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
A••••••••• A•••••• S•••••••• I••• to F•••• F•••••••• E••••• C•••••••••
left Jan 22, 2009, registered Jan 16, 2009 (-6 days) · Other
M••••• S•••••• D• I••• to A••••••••• A•••••• S•••••••• I•••
left Jul 27, 2005, registered Jul 25, 2005 (-2 days) · Other

Signals

R••••••• S••••• P•••••• left F•••• F•••••••• E••••• C••••••••• for L•• F•••••••• L•• (registered 2022-03-21)
Apr 4, 2022 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 37derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address