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

D••••• S•••• M••••••

A••••••••• L••independent RIACastle Rock, Co dual registrantIAPD 4738869

Certified Financial Planner

Feed of 09/14/2026

Also filed as D••••• M••••••

At current firm

0 y

since Jul 1, 2026

In the industry

22 y

since Feb 28, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••••••• L•• independent RIA current
since Jul 1, 2026 · Castle Rock, Co
C••••••••• F•••••••• N•••••• national BD
Nov 25, 2022 to Jul 1, 2026 · San Diego, Ca
S••••• W••••• A•••••••• I••• no RAUM
Sep 13, 2012 to Dec 8, 2022 · Englewood, Co
T• A••••••••• I••••••••• M••••••••• L•• former
Aug 30, 2010 to Aug 28, 2012 · Denver, Co
T• A••••••••• I••• former
Aug 30, 2010 to Aug 28, 2012 · Denver, Co
S•••••••• A••••••• L•• national BD
Jun 15, 2007 to Aug 6, 2010 · Lone Tree, Co

Moves

a registration end followed by a registration begin elsewhere

C••••••••• F•••••••• N•••••• to A••••••••• L••
left Jul 1, 2026, registered Jul 1, 2026 (0 days) · Affiliated broker-dealer or bank to independent RIA
S••••• W••••• A•••••••• I••• to C••••••••• F•••••••• N••••••
left Dec 8, 2022, registered Nov 25, 2022 (-13 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Aug 28, 2012, registered Aug 30, 2010 (-729 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Aug 28, 2012, registered Aug 30, 2010 (-729 days) · channel change inside one enterprise, not a move
S•••••••• A••••••• L•• to T• A••••••••• I•••
left Aug 6, 2010, registered Aug 30, 2010 (24 days) · Affiliated broker-dealer or bank to a newly registered adviser

Signals

D••••• S•••• M•••••• left C••••••••• F•••••••• N•••••• for A••••••••• L•• (registered 2026-07-01)
Jul 1, 2026 · Advisor changed firm · fact
D••••• S•••• M•••••• left S••••• W••••• A•••••••• I••• for C••••••••• F•••••••• N•••••• (registered 2022-11-25)
Dec 8, 2022 · 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