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•••••• D••• B••••••

M••••• G••••• A••••••• I•••independent RIADenver, Co IA-onlyIAPD 2950503

Certified Financial Planner

Feed of 09/15/2026

Also filed as S•••••• B••••••

At current firm

0 y

since May 14, 2026

In the industry

28 y

since Jan 30, 1998 (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

M••••• G••••• A••••••• I••• independent RIA current
since May 14, 2026 · Charlotte, Nc
S•••• S••••• W••••• M••••••••• independent RIA
Jul 11, 2023 to May 12, 2026 · Greensboro, Nc
P•• W••••• M••••••••• BD affiliated
Mar 15, 2023 to Jun 28, 2023 · Charlotte, Nc
L••••• T••••• A••••••• S•••••••• L•• independent RIA
Jan 17, 2023 to Jan 20, 2023 · Charlotte, Nc
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 13, 2018 to Jan 14, 2023 · Boston, Ma
S•••••••• A••••••• L•• national BD
Nov 23, 2011 to Jul 13, 2018 · Charlotte, Nc
N••••••••• S••••••••• L•• no RAUM
May 18, 2010 to Apr 26, 2011 · Kannapolis, Nc
L•• F•••••••• L•• BD affiliated
Apr 13, 2009 to Apr 7, 2010 · Greenville, Sc

Moves

a registration end followed by a registration begin elsewhere

S•••• S••••• W••••• M••••••••• to M••••• G••••• A••••••• I•••
left May 12, 2026, registered May 14, 2026 (2 days) · RIA to RIA
P•• W••••• M••••••••• to S•••• S••••• W••••• M•••••••••
left Jun 28, 2023, registered Jul 11, 2023 (13 days) · Affiliated broker-dealer or bank to independent RIA
L••••• T••••• A••••••• S•••••••• L•• to P•• W••••• M•••••••••
left Jan 20, 2023, registered Mar 15, 2023 (54 days) · RIA to affiliated broker-dealer or bank
F••••••• P••••••• A•• W•••••••• A••••••• to L••••• T••••• A••••••• S•••••••• L••
left Jan 14, 2023, registered Jan 17, 2023 (3 days) · Affiliated broker-dealer or bank to independent RIA
S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
N••••••••• S••••••••• L•• to S•••••••• A••••••• L••
left Apr 26, 2011, registered Nov 23, 2011 (211 days) · Other
L•• F•••••••• L•• to N••••••••• S••••••••• L••
left Apr 7, 2010, registered May 18, 2010 (41 days) · Other

Signals

S•••••• D••• B•••••• left S•••• S••••• W••••• M••••••••• for M••••• G••••• A••••••• I••• (registered 2026-05-14)
May 12, 2026 · Advisor changed firm · fact
S•••••• D••• B•••••• left P•• W••••• M••••••••• for S•••• S••••• W••••• M••••••••• (registered 2023-07-11)
Jun 28, 2023 · Advisor changed firm · fact
S•••••• D••• B•••••• left L••••• T••••• A••••••• S•••••••• L•• for P•• W••••• M••••••••• (registered 2023-03-15)
Jan 20, 2023 · Advisor changed firm · fact
S•••••• D••• B•••••• left F••••••• P••••••• A•• W•••••••• A••••••• for L••••• T••••• A••••••• S•••••••• L•• (registered 2023-01-17)
Jan 14, 2023 · 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: Independent wealth managerderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address