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

F•••••••• C•••••• W•••••••

I••••• P••••••••• W•••••• L••independent RIAColorado Springs, Co IA-onlyIAPD 2560740

Feed of 09/15/2026

Also filed as Rick W•••••••

At current firm

2 y

since Jan 16, 2024

In the industry

23 y

since Feb 10, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, 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

I••••• P••••••••• W•••••• L•• independent RIA current
since Jan 16, 2024 · Port Orange, Fl
A•••••• S•••• W••••• M••••••••• L•• independent RIA
Nov 7, 2023 to Jan 19, 2024 · Vancouver, Wa
F•••• D••• F•••••••• state registered
Aug 3, 2023 to Oct 25, 2023 · Oviedo, Fl
B••••••••• C•••••• M••••••••• L•• independent RIA
Dec 20, 2019 to Apr 17, 2023 · Colorado Springs, Co
S••••••••• A••••••• former
Jun 14, 2019 to Oct 12, 2019 · Dallas, Tx
E•••••• E••••• L•• BD affiliated
Mar 8, 2018 to Mar 22, 2018 · Colorado Springs, Co
E•••••• E••••• L•• BD affiliated
Aug 3, 2016 to Jan 9, 2017 · Granby, Co
E•••••• E••••• L•• BD affiliated
Jan 12, 2009 to Dec 17, 2010 · Fraser, Co
U•• F•••••••• S••••••••• L•• independent RIA
Oct 5, 2005 to Nov 27, 2006 · Ada, Mi
G••••• W••••• M••••••••• I••• BD affiliated
Jan 26, 2005 to Mar 17, 2005 · Colorado Springs, Co
V•••• F•••••••• A•••••••• I••• BD affiliated
Feb 10, 2003 to Dec 2, 2004 · Lakewood, Co

Moves

a registration end followed by a registration begin elsewhere

A•••••• S•••• W••••• M••••••••• L•• to I••••• P••••••••• W•••••• L••
left Jan 19, 2024, registered Jan 16, 2024 (-3 days) · RIA to RIA
F•••• D••• F•••••••• to A•••••• S•••• W••••• M••••••••• L••
left Oct 25, 2023, registered Nov 7, 2023 (13 days) · Other
B••••••••• C•••••• M••••••••• L•• to F•••• D••• F••••••••
left Apr 17, 2023, registered Aug 3, 2023 (108 days) · RIA to a state-registered adviser
S••••••••• A••••••• to B••••••••• C•••••• M••••••••• L••
left Oct 12, 2019, registered Dec 20, 2019 (69 days) · RIA to RIA · moved with a team
E•••••• E••••• L•• to S••••••••• A•••••••
left Mar 22, 2018, registered Jun 14, 2019 (449 days) · Other
U•• F•••••••• S••••••••• L•• to E•••••• E••••• L••
left Nov 27, 2006, registered Jan 12, 2009 (777 days) · Other
G••••• W••••• M••••••••• I••• to U•• F•••••••• S••••••••• L••
left Mar 17, 2005, registered Oct 5, 2005 (202 days) · Other
V•••• F•••••••• A•••••••• I••• to G••••• W••••• M••••••••• I•••
left Dec 2, 2004, registered Jan 26, 2005 (55 days) · Other

Signals

F•••••••• C•••••• W••••••• left A•••••• S•••• W••••• M••••••••• L•• for I••••• P••••••••• W•••••• L•• (registered 2024-01-16)
Jan 19, 2024 · a•••••• firm change · fact
F•••••••• C•••••• W••••••• left F•••• D••• F•••••••• for A•••••• S•••• W••••• M••••••••• L•• (registered 2023-11-07)
Oct 25, 2023 · a•••••• firm change · fact
F•••••••• C•••••• W••••••• left B••••••••• C•••••• M••••••••• L•• for F•••• D••• F•••••••• (registered 2023-08-03)
Apr 17, 2023 · 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: Independent wealth managerderived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address