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

L•••• M• S••••••••

M••••• G••••• A••••••• I•••independent RIADenver, Co IA-onlyIAPD 3239255

Certified Financial Planner

Feed of 09/14/2026

Also filed as L•••• S•••••••• Garrison

At current firm

1 y

since Dec 11, 2024

In the industry

24 y

since Sep 24, 2001 (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

M••••• G••••• A••••••• I••• independent RIA current
since Dec 11, 2024 · Los Gatos, Ca
W••••• A••••••••• L•• independent RIA
Mar 20, 2020 to Oct 24, 2024 · Mountain View, Ca
V••••• P•••• A•••••••• L•• independent RIA
Jan 20, 2015 to Dec 7, 2020 · San Francisco, Ca
F• A••••••• unclassified
Oct 17, 2013 to Jan 8, 2015 · San Francisco, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 29, 2001 to Jun 20, 2005 · San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

W••••• A••••••••• L•• to M••••• G••••• A••••••• I•••
left Oct 24, 2024, registered Dec 11, 2024 (48 days) · RIA to RIA
V••••• P•••• A•••••••• L•• to W••••• A••••••••• L••
left Dec 7, 2020, registered Mar 20, 2020 (-262 days) · RIA to RIA
F• A••••••• to V••••• P•••• A•••••••• L••
left Jan 8, 2015, registered Jan 20, 2015 (12 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F• A•••••••
left Jun 20, 2005, registered Oct 17, 2013 (3041 days) · Other

Signals

L•••• M• S•••••••• left W••••• A••••••••• L•• for M••••• G••••• A••••••• I••• (registered 2024-12-11)
Oct 24, 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: Independent wealth managerderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address