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.

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Registered advisor

D•••• B• P•••

N•••••• P•••••••• L••independent RIAGreenwood Village, Co IA-onlyIAPD 4637903

Certified Financial Planner

Feed of 09/15/2026

At current firm

3 y

since Apr 17, 2023

In the industry

22 y

since Nov 20, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

N•••••• P•••••••• L•• independent RIA current
since Apr 17, 2023 · Greenwood Village, Co
A••••• F•••••••• G•••• independent RIA
Oct 3, 2006 to Jan 29, 2024 · Salt Lake City, Ut
O••••••••• S••••••••• I••• BD affiliated
Apr 19, 2005 to Jul 10, 2006 · Murray, Ut
C••• W••••• M••••••••• state registered
Jan 6, 2005 to Apr 26, 2005 · San Luis Obispo, Ca
L•• F•••••••• L•• BD affiliated
Jan 21, 2004 to Nov 8, 2004 · San Luis Obispo, Ca

Moves

a registration end followed by a registration begin elsewhere

A••••• F•••••••• G•••• to N•••••• P•••••••• L••
left Jan 29, 2024, registered Apr 17, 2023 (-287 days) · RIA to RIA
O••••••••• S••••••••• I••• to A••••• F•••••••• G••••
left Jul 10, 2006, registered Oct 3, 2006 (85 days) · Other
C••• W••••• M••••••••• to O••••••••• S••••••••• I•••
left Apr 26, 2005, registered Apr 19, 2005 (-7 days) · Other
L•• F•••••••• L•• to C••• W••••• M•••••••••
left Nov 8, 2004, registered Jan 6, 2005 (59 days) · Other

Signals

D•••• B• P••• left A••••• F•••••••• G•••• for N•••••• P•••••••• L•• (registered 2023-04-17)
Jan 29, 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address