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••••• A•••••• S•••••

L••• A•••• M•••••••••formerEnglewood, CoIA-onlyIAPD 2180061

Feed of 09/14/2026

Also filed as Bob Spicer

At current firm

2 y

since Sep 6, 2024

In the industry

34 y

since Sep 24, 1991 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, 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••• A•••• M••••••••• former current
since Sep 6, 2024 · Englewood, Co
E••••• J•••• national BD
Dec 18, 2020 to Sep 9, 2024 · Littleton, Co
D••••• P••• L•• independent RIA
May 7, 2014 to Dec 31, 2018 · D•••••, Co
F•••• F•••••••• E••••• C••••••••• former
Sep 8, 2006 to Jan 7, 2021 · D•••••, Co
M••••• S•••••• D• I••• unclassified
Jan 1, 1999 to Jun 5, 2006 · Centennial, Co

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to L••• A•••• M•••••••••
left Sep 9, 2024, registered Sep 6, 2024 (-3 days) · Affiliated broker-dealer or bank to a newly registered adviser
F•••• F•••••••• E••••• C••••••••• to D••••• P••• L••
left Jan 7, 2021, registered May 7, 2014 (-2437 days) · Other
D••••• P••• L•• to E••••• J••••
left Dec 31, 2018, registered Dec 18, 2020 (718 days) · RIA to affiliated broker-dealer or bank
M••••• S•••••• D• I••• to F•••• F•••••••• E••••• C•••••••••
left Jun 5, 2006, registered Sep 8, 2006 (95 days) · Other

Signals

R••••• A•••••• S••••• left E••••• J•••• for L••• A•••• M••••••••• (registered 2024-09-06)
Sep 9, 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: Former SEC-registered adviserderived
Years in industry: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address