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•••• P•••••• E••••

L•••••• A••••••• A•••••••independent RIAFlorence IA-onlyIAPD 3092973

Certified Financial Planner · Chartered Financial Analyst

Feed of 09/14/2026

Also filed as S•••• P E••••

At current firm

2 y

since Nov 15, 2023

In the industry

23 y

since Feb 18, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Professional profile

what the firm itself publishes, with the page it was read from

Title: Chief Investment Officerreportedlibertyatlantic.comfirm site, Sep 16, 2026

Only business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.

Registration history

IAPD current and previous registrations

L•••••• A••••••• A••••••• independent RIA current
since Nov 15, 2023 · Princeton, Tx
B••••• G••••• A•••••• N••••••• L•• independent RIA
Jan 5, 2021 to Mar 21, 2024 · Princeton, Tx
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Dec 20, 2016 to Dec 7, 2017 · Denver, Co
A••••• A•• P••••••• S••••••• BD affiliated
Aug 24, 2007 to Jan 22, 2008 · Denver, Co
T•••••••• T•••• C••••••• F•• unclassified
Sep 27, 2004 to Nov 3, 2006 · St. Louis, Mo
L•••••• C•••••• C••••••••• independent RIA
Feb 18, 2003 to Mar 19, 2004 · Denver, Co
B••• S•• A•••••••• L•• unclassified
n/a to n/a · Boulder, Co

Moves

a registration end followed by a registration begin elsewhere

B••••• G••••• A•••••• N••••••• L•• to L•••••• A••••••• A•••••••
left Mar 21, 2024, registered Nov 15, 2023 (-127 days) · RIA to RIA
N••••••••• M••••• I••••••••• S••••••••• to B••••• G••••• A•••••• N••••••• L••
left Dec 7, 2017, registered Jan 5, 2021 (1125 days) · Other
A••••• A•• P••••••• S••••••• to N••••••••• M••••• I••••••••• S•••••••••
left Jan 22, 2008, registered Dec 20, 2016 (3255 days) · Other
T•••••••• T•••• C••••••• F•• to A••••• A•• P••••••• S•••••••
left Nov 3, 2006, registered Aug 24, 2007 (294 days) · Other
L•••••• C•••••• C••••••••• to T•••••••• T•••• C••••••• F••
left Mar 19, 2004, registered Sep 27, 2004 (192 days) · Other

Signals

S•••• P•••••• E•••• left B••••• G••••• A•••••• N••••••• L•• for L•••••• A••••••• A••••••• (registered 2023-11-15)
Mar 21, 2024 · 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