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••• M•••••• A••••••

C••••• I••••••••• A••••••• L••BD affiliatedGreenwood Village, Codual registrantIAPD 4782531

Feed of 09/14/2026

Also filed as C••• A••••••

At current firm

2 y

since Jun 24, 2024

In the industry

21 y

since Mar 16, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• I••••••••• A••••••• L•• BD affiliated current
since Jun 24, 2024 · Greenwood Village, Co
O•••• F•• I••• former
Aug 28, 2009 to Jun 25, 2024 · Denver, Co
H•••••• T••••••• • K•••• L•• independent RIA
Dec 4, 2008 to Sep 8, 2009 · Denver, Co
M•• F•••••••• S•••••••• I••• former
Nov 29, 2005 to Jul 24, 2006 · Denver, Co
M•••••• I••••••••• F••• S••••••• L•• unclassified
Mar 17, 2005 to Dec 31, 2005 · Denver, Co

Moves

a registration end followed by a registration begin elsewhere

O•••• F•• I••• to C••••• I••••••••• A••••••• L••
left Jun 25, 2024, registered Jun 24, 2024 (-1 days) · Affiliated broker-dealer or bank to another
H•••••• T••••••• • K•••• L•• to O•••• F•• I•••
left Sep 8, 2009, registered Aug 28, 2009 (-11 days) · Other
M•• F•••••••• S•••••••• I••• to H•••••• T••••••• • K•••• L••
left Jul 24, 2006, registered Dec 4, 2008 (864 days) · Other
M•••••• I••••••••• F••• S••••••• L•• to M•• F•••••••• S•••••••• I•••
left Dec 31, 2005, registered Nov 29, 2005 (-32 days) · corporate re-registration, not a move

Signals

C••• M•••••• A•••••• left O•••• F•• I••• for C••••• I••••••••• A••••••• L•• (registered 2024-06-24)
Jun 25, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address