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•••••• H•••••

C••• P•••••• W••••• A•••••••• I•••BD affiliatedDenver, CoIA-onlyIAPD 5249879

Chartered Financial Analyst

Feed of 09/14/2026

Also filed as C•••••• Mary Knight

At current firm

5 y

since Jul 20, 2021

In the industry

19 y

since Dec 20, 2006 (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

C••• P•••••• W••••• A•••••••• I••• BD affiliated current
since Jul 20, 2021 · Denver, Co
C••••••• C•••••• M••••••••• independent RIA
May 22, 2018 to Jul 27, 2018 · Boulder, Co
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 18, 2013 to May 13, 2014 · Boulder, Co
S•••••••• A••••••• L•• national BD
Dec 20, 2006 to Dec 9, 2011 · Boston, Ma

Moves

a registration end followed by a registration begin elsewhere

C••••••• C•••••• M••••••••• to C••• P•••••• W••••• A•••••••• I•••
left Jul 27, 2018, registered Jul 20, 2021 (1089 days) · RIA to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• C•••••• M•••••••••
left May 13, 2014, registered May 22, 2018 (1470 days) · Wirehouse to independent RIA
S•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Dec 9, 2011, registered Jan 18, 2013 (406 days) · Affiliated broker-dealer or bank to wirehouse

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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address