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

A••••• P•••

E•••••• A••••••• G••••• L••BD affiliatedGreenwood Village, Co IA-onlyIAPD 5211488

Feed of 09/14/2026

At current firm

1 y

since Nov 12, 2024

In the industry

15 y

since Sep 14, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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 Nov 12, 2024 · Greenwood Village, Co
G•••••• S•••• W••••• S•••••••• L••• BD affiliated
Oct 23, 2023 to Dec 1, 2023 · Irving, Tx
U••••• C•••••• F•••••••• A••••••• independent RIA
Jun 26, 2017 to Oct 24, 2023 · Irving, Tx
M••••• S•••••• wirehouse
Nov 13, 2012 to Jul 20, 2016 · Fort Worth, Tx
E••••• J•••• national BD
Sep 19, 2011 to Mar 28, 2012 · Colleyville, Tx

Moves

a registration end followed by a registration begin elsewhere

G•••••• S•••• W••••• S•••••••• L••• to E•••••• A••••••• G••••• L••
left Dec 1, 2023, registered Nov 12, 2024 (347 days) · Affiliated broker-dealer or bank to another
U••••• C•••••• F•••••••• A••••••• to G•••••• S•••• W••••• S•••••••• L•••
left Oct 24, 2023, registered Oct 23, 2023 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
M••••• S•••••• to U••••• C•••••• F•••••••• A•••••••
left Jul 20, 2016, registered Jun 26, 2017 (341 days) · Other
E••••• J•••• to M••••• S••••••
left Mar 28, 2012, registered Nov 13, 2012 (230 days) · Affiliated broker-dealer or bank to wirehouse

Signals

A••••• P••• left G•••••• S•••• W••••• S•••••••• L••• for E•••••• A••••••• G••••• L•• (registered 2024-11-12)
Dec 1, 2023 · Advisor changed firm · fact
A••••• P••• left U••••• C•••••• F•••••••• A••••••• for G•••••• S•••• W••••• S•••••••• L••• (registered 2023-10-23)
Oct 24, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address