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

M••••••• B•••• M••••

L•• F•••••••• L••BD affiliatedLittleton, Co dual registrantIAPD 1962436

Feed of 09/14/2026

Also filed as Mitch M••••

At current firm

1 y

since Nov 18, 2024

In the industry

37 y

since Jun 27, 1989 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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 Nov 18, 2024 · Graham, Tx
O•••• W•••••• I••• BD affiliated
Jan 19, 2024 to Nov 21, 2024 · Golden, Co
W••••••• F•••••••• S•••••••• I••• former
Jul 10, 2018 to Jan 19, 2024 · Golden, Co
N••• F•••••••• G••••• I••• former
Jul 29, 2005 to Jul 10, 2018 · Golden, Co
C••••• former
Aug 14, 2003 to Oct 5, 2005 · Golden, Co
C•••••• S••••••••• I••• unclassified
Jan 2, 2003 to Jun 19, 2003 · Aurora, Co
B•••• S••••• B•• M••••••••• L•• unclassified
Nov 10, 2000 to Nov 18, 2002 · Denver, Co
B•••• S••••• A••••••• L•• unclassified
Jan 1, 1999 to Nov 15, 2002 · Denver, Co

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to L•• F•••••••• L••
left Nov 21, 2024, registered Nov 18, 2024 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••
left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
N••• F•••••••• G••••• I••• to W••••••• F•••••••• S•••••••• I•••
left Jul 10, 2018, registered Jul 10, 2018 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
C••••• to N••• F•••••••• G••••• I•••
left Oct 5, 2005, registered Jul 29, 2005 (-68 days) · Other
C•••••• S••••••••• I••• to C•••••
left Jun 19, 2003, registered Aug 14, 2003 (56 days) · Other
B•••• S••••• B•• M••••••••• L•• to C•••••• S••••••••• I•••
left Nov 18, 2002, registered Jan 2, 2003 (45 days) · Other
B•••• S••••• A••••••• L•• to B•••• S••••• B•• M••••••••• L••
left Nov 15, 2002, registered Nov 10, 2000 (-735 days) · Other

Signals

M••••••• B•••• M•••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2024-11-18)
Nov 21, 2024 · 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: 37derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address