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•••••• S•••••• W•••

G•• S••••••••• I•••BD affiliatedPalm Beach Gardens, Fl dual registrantIAPD 2357739

Chartered Financial Consultant

Feed of 09/15/2026

At current firm

8 y

since Dec 4, 2017

In the industry

33 y

since Aug 20, 1993 (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

G•• S••••••••• I••• BD affiliated current
since Dec 4, 2017 · Palm Beach Gardens, Fl
I••••••••• R••••••• C••• independent RIA
Nov 25, 2015 to Dec 5, 2017 · Aurora, Co
I••••••••• R••••••• C••• independent RIA
Oct 20, 2010 to Dec 31, 2014 · Aurora, Co
E•••••••• A•••••••• L•• national BD
Jun 1, 2009 to Oct 22, 2010 · Lakewood, Co
N••••••••• S••••••••• L•• no RAUM
Aug 1, 2008 to Jun 2, 2009 · Aurora, Co
1••• C•••••• M••••••••• C•••••• unclassified
Jan 9, 2002 to Aug 1, 2008 · Aurora, Co

Moves

a registration end followed by a registration begin elsewhere

I••••••••• R••••••• C••• to G•• S••••••••• I•••
left Dec 5, 2017, registered Dec 4, 2017 (-1 days) · Other
E•••••••• A•••••••• L•• to I••••••••• R••••••• C•••
left Oct 22, 2010, registered Oct 20, 2010 (-2 days) · Other
N••••••••• S••••••••• L•• to E•••••••• A•••••••• L••
left Jun 2, 2009, registered Jun 1, 2009 (-1 days) · Other
1••• C•••••• M••••••••• C•••••• to N••••••••• S••••••••• L••
left Aug 1, 2008, registered Aug 1, 2008 (0 days) · corporate re-registration, not a move

Signals

No dated event on this person.

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: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address