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

M•••••• F• S••••

C••••••••• I••••••••• A•••••••• L••independent RIAColorado Springs, Co dual registrantIAPD 4783136

Feed of 09/15/2026

Also filed as M•••••• Faye S••••

At current firm

3 y

since May 31, 2023

In the industry

21 y

since Jul 29, 2005 (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

C••••••••• I••••••••• A•••••••• L•• independent RIA current
since May 31, 2023 · Tampa, Fl
C••••••••• I••••••••• A•••••••• L•• independent RIA
May 19, 2023 to May 19, 2023 · Tampa, Fl
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Jan 31, 2018 to Jun 5, 2023 · Greenwood Village, Co
R••••• W• B•••• • C•• I••••••••• mixed wealth
May 11, 2017 to Jan 31, 2018 · Denver, Co
U••• B•••••• I••••••••• I••• former
Jan 3, 2017 to May 26, 2017 · Lakewood, Co
M••••• S•••••• wirehouse
Mar 27, 2012 to Jan 6, 2017 · Colorado Springs, Co

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••••••• I••••••••• A•••••••• L••
left Jun 5, 2023, registered May 19, 2023 (-17 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
R••••• W• B•••• • C•• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jan 31, 2018, registered Jan 31, 2018 (0 days) · RIA to affiliated broker-dealer or bank
U••• B•••••• I••••••••• I••• to R••••• W• B•••• • C•• I•••••••••
left May 26, 2017, registered May 11, 2017 (-15 days) · Other
M••••• S•••••• to U••• B•••••• I••••••••• I•••
left Jan 6, 2017, registered Jan 3, 2017 (-3 days) · Other

Signals

M•••••• F• S•••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for C••••••••• I••••••••• A•••••••• L•• (registered 2023-05-19)
Jun 5, 2023 · 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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address