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

C••••••••• D••• M•••••••

S•••••• S•••••••••BD affiliatedWestminster, Co dual registrantIAPD 3230689

Certified Financial Planner

Feed of 09/15/2026

Also filed as Chris M•••••••

At current firm

7 y

since Feb 21, 2019

In the industry

26 y

since Oct 21, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••• S••••••••• BD affiliated current
since Feb 21, 2019 · Houston, Tx
F••••••••• mixed wealth
Jan 8, 2018 to Nov 22, 2023 · Aurora, Co
F••••••••• mixed wealth
Sep 27, 2017 to Dec 31, 2017 · Denver, Co
J••••••• C••••••• I••• former
Mar 14, 2013 to Jun 30, 2018 · Denver, Co
E••••• I••••••••• A••••••• unclassified
Apr 1, 2009 to Jan 25, 2011 · Austin, Tx
S••••••••• A•••••• A•••••••• I••• former
Dec 16, 2004 to Apr 16, 2009 · Denver, Co
N•• E•••••• S••••••••• C••••••••• former
Oct 25, 2001 to Dec 15, 2004 · Denver, Co

Moves

a registration end followed by a registration begin elsewhere

F••••••••• to S•••••• S•••••••••
left Nov 22, 2023, registered Feb 21, 2019 (-1735 days) · RIA to RIA
J••••••• C••••••• I••• to F•••••••••
left Jun 30, 2018, registered Sep 27, 2017 (-276 days) · RIA to a newly registered adviser · moved with a team
E••••• I••••••••• A••••••• to J••••••• C••••••• I•••
left Jan 25, 2011, registered Mar 14, 2013 (779 days) · Other
S••••••••• A•••••• A•••••••• I••• to E••••• I••••••••• A•••••••
left Apr 16, 2009, registered Apr 1, 2009 (-15 days) · Other
N•• E•••••• S••••••••• C••••••••• to S••••••••• A•••••• A•••••••• I•••
left Dec 15, 2004, registered Dec 16, 2004 (1 days) · Other

Signals

C••••••••• D••• M••••••• left Familywealth for S•••••• S••••••••• (registered 2019-02-21)
Nov 22, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address