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••• M•••• M••••

E•••••• A••••••• G••••• L••BD affiliatedGreenwood Village, Co dual registrantIAPD 3204754

Certified Financial Planner

Feed of 09/15/2026

Also filed as S••• M•••• M••••

At current firm

2 y

since Apr 23, 2024

In the industry

27 y

since Apr 19, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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

E•••••• A••••••• G••••• L•• BD affiliated current
since Apr 23, 2024 · Tampa, Fl
M••••• S•••••• wirehouse
Sep 5, 2023 to Feb 22, 2024 · Tampa, Fl
E•••••• C•••••• M••••••••• L•• former
Nov 23, 2020 to Sep 5, 2023 · Temple Terrace, Fl
A••••••••• F•••••••• S•••••••• L•• national BD
Sep 3, 2019 to Jul 15, 2020 · Tampa, Fl
A••••••••• F•••••••• S•••••••• L•• national BD
Mar 2, 2017 to Apr 15, 2019 · Tampa, Fl
E•••• A•••• M••••••••• I•• mixed wealth
Jun 7, 1999 to Sep 8, 2006 · St. Petersburg, Fl

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to E•••••• A••••••• G••••• L••
left Feb 22, 2024, registered Apr 23, 2024 (61 days) · Wirehouse to affiliated broker-dealer or bank
E•••••• C•••••• M••••••••• L•• to M••••• S••••••
left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
A••••••••• F•••••••• S•••••••• L•• to E•••••• C•••••• M••••••••• L••
left Jul 15, 2020, registered Nov 23, 2020 (131 days) · Affiliated broker-dealer or bank to independent RIA
E•••• A•••• M••••••••• I•• to A••••••••• F•••••••• S•••••••• L••
left Sep 8, 2006, registered Mar 2, 2017 (3828 days) · Other

Signals

S••• M•••• M•••• left M••••• S•••••• for E•••••• A••••••• G••••• L•• (registered 2024-04-23)
Feb 22, 2024 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address