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

S•••• A•••• W•••••

E•••••• A••••••• G••••• L••BD affiliatedGreenwood Village, Co dual registrantIAPD 5174350

Feed of 09/14/2026

At current firm

4 y

since Jan 31, 2022

In the industry

20 y

since Aug 17, 2006 (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

E•••••• A••••••• G••••• L•• BD affiliated current
since Jan 31, 2022 · Lee'S Summit, Mo
B••••••• I••••••••• S•••••••• I••• ••••• former
Apr 10, 2018 to Jan 14, 2022 · Wichita, Ks
C••••• I••••••••• A••••••• L•• BD affiliated
Oct 24, 2016 to Mar 28, 2018 · Pratt, Ks
A••••••••• F•••••••• S•••••••• L•• national BD
Nov 2, 2015 to May 18, 2016 · Wichita, Ks
C••••• I••••••••• A••••••• L•• BD affiliated
May 28, 2015 to Aug 3, 2015 · Wichita, Ks
A••••••••• F•••••••• S•••••••• L•• national BD
Mar 14, 2014 to Apr 22, 2015 · Wichita, Ks
L•• F•••••••• L•• BD affiliated
Jul 5, 2011 to Mar 27, 2014 · Wichita, Ks
U•••• F•••••••• S••••••• G••••• I••• unclassified
Jan 12, 2009 to Jul 5, 2011 · Wichita, Ks
E••••• J•••• national BD
May 2, 2007 to Jan 6, 2009 · Wichita, Ks

Moves

a registration end followed by a registration begin elsewhere

B••••••• I••••••••• S•••••••• I••• ••••• to E•••••• A••••••• G••••• L••
left Jan 14, 2022, registered Jan 31, 2022 (17 days) · Other
C••••• I••••••••• A••••••• L•• to B••••••• I••••••••• S•••••••• I••• •••••
left Mar 28, 2018, registered Apr 10, 2018 (13 days) · Other
A••••••••• F•••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••
left May 18, 2016, registered Oct 24, 2016 (159 days) · Other
C••••• I••••••••• A••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Aug 3, 2015, registered Nov 2, 2015 (91 days) · Other
A••••••••• F•••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••
left Apr 22, 2015, registered May 28, 2015 (36 days) · Other
L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Mar 27, 2014, registered Mar 14, 2014 (-13 days) · Other
U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••
left Jul 5, 2011, registered Jul 5, 2011 (0 days) · corporate re-registration, not a move
E••••• J•••• to U•••• F•••••••• S••••••• G••••• I•••
left Jan 6, 2009, registered Jan 12, 2009 (6 days) · Other

Signals

S•••• A•••• W••••• left B••••••• I••••••••• S•••••••• I••• ••••• for E•••••• A••••••• G••••• L•• (registered 2022-01-31)
Jan 14, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address