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

A•••••••• B•••••• M••••

M••••• G••••• A••••••• I•••independent RIADenver, Co IA-onlyIAPD 4632749

Feed of 09/14/2026

Also filed as A•••••••• B•••••• M••••

At current firm

2 y

since Oct 27, 2023

In the industry

23 y

since Jul 17, 2003 (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 Oct 27, 2023 · Denver, Co
K••••••••• C••••••• L•• former
Jul 2, 2009 to Nov 7, 2024 · Charlotte, Nc
W••••••••• A••••••• unclassified
Jan 3, 2007 to Jun 30, 2009 · Charlotte, Nc
W••••••••• A••••••• unclassified
May 3, 2004 to Jan 3, 2007 · Charlotte, Nc
M•••• J•••• M• R••••••• I•• unclassified
Nov 19, 2003 to Apr 30, 2004 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

K••••••••• C••••••• L•• to M••••• G••••• A••••••• I•••
left Nov 7, 2024, registered Oct 27, 2023 (-377 days) · RIA to RIA · moved with a team
W••••••••• A••••••• to K••••••••• C••••••• L••
left Jun 30, 2009, registered Jul 2, 2009 (2 days) · Other
W••••••••• A••••••• to W••••••••• A•••••••
left Jan 3, 2007, registered Jan 3, 2007 (0 days) · Other
M•••• J•••• M• R••••••• I•• to W••••••••• A•••••••
left Apr 30, 2004, registered May 3, 2004 (3 days) · Other

Signals

A•••••••• B•••••• M•••• left K••••••••• C••••••• L•• for M••••• G••••• A••••••• I••• (registered 2023-10-27)
Nov 7, 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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address