DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
S••••• L•• W••••
Feed of 09/14/2026
Also filed as S••••• L•• W••••
At current firm
7 y
since Jan 29, 2019
In the industry
18 y
since Jun 19, 2008 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
8
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- O• I••••••••• M••••••••• C• BD affiliated currentsince Jan 29, 2019 · Greenwood Village, Co
- S••••••••• A•••••• A•••••••• I••• formerFeb 15, 2017 to Nov 9, 2018 · Denver, Co
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMay 17, 2016 to Mar 15, 2017 · Denver, Co
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAMar 15, 2012 to May 20, 2016 · Denver, Co
- P••• A••••• S••••••••• L•• BD affiliatedJun 25, 2008 to Feb 21, 2012 · Greenwood Village, Co
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to O• I••••••••• M••••••••• C•left Nov 9, 2018, registered Jan 29, 2019 (81 days) · Affiliated broker-dealer or bank to another
- C•••••••• I••••••••• R••••••• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Mar 15, 2017, registered Feb 15, 2017 (-28 days) · Other · moved with a team
- M••••• O• O•••• I••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 20, 2016, registered May 17, 2016 (-3 days) · Other
- P••• A••••• S••••••••• L•• to M••••• O• O•••• I••••••• S•••••••• I•••left Feb 21, 2012, registered Mar 15, 2012 (23 days) · Other
Signals
No dated event on this person.
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address