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.

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Registered advisor

E••••• R••••• L•••

P••••• W••••• P•••••••• I•••state registeredBreckenridge, Co dual registrantIAPD 302498

Certified Financial Planner

Feed of 09/14/2026

Also filed as Ron L•••

At current firm

3 y

since Mar 21, 2023

In the industry

33 y

since Mar 5, 1993 (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

P••••• W••••• P•••••••• I••• state registered current
since Mar 21, 2023 · Breckenridge, Co
S•••••• W••••• A••••••• L•• independent RIA
Dec 3, 2021 to Jan 3, 2022 · Breckenridge, Co
X•• F•••••••• G•••• independent RIA
Feb 4, 2019 to Jul 1, 2020 · Frisco, Co
L•••• M•• • A••••••••• L•• former
Jan 2, 2008 to Feb 1, 2019 · Breckenridge, Co
L•••• S•••• • M••• L•• unclassified
Jul 22, 1999 to Dec 31, 2007 · Frisco, Co
T•• L••• G••••• L•• unclassified
Aug 30, 1993 to Jun 22, 2010 · Falls Church, Va

Moves

a registration end followed by a registration begin elsewhere

S•••••• W••••• A••••••• L•• to P••••• W••••• P•••••••• I•••
left Jan 3, 2022, registered Mar 21, 2023 (442 days) · RIA to a state-registered adviser
X•• F•••••••• G•••• to S•••••• W••••• A••••••• L••
left Jul 1, 2020, registered Dec 3, 2021 (520 days) · RIA to RIA
L•••• M•• • A••••••••• L•• to X•• F•••••••• G••••
left Feb 1, 2019, registered Feb 4, 2019 (3 days) · RIA to RIA · moved with a team
T•• L••• G••••• L•• to L•••• S•••• • M••• L••
left Jun 22, 2010, registered Jul 22, 1999 (-3988 days) · Other
L•••• S•••• • M••• L•• to L•••• M•• • A••••••••• L••
left Dec 31, 2007, registered Jan 2, 2008 (2 days) · Other

Signals

E••••• R••••• L••• left S•••••• W••••• A••••••• L•• for P••••• W••••• P•••••••• I••• (registered 2023-03-21)
Jan 3, 2022 · 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: STATE REGISTEREDderived
Years in industry: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address