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•••• R••••• M••••••••

W••••• E••••••••• A••••••• S•••••••• L••BD affiliatedCentennial, Co dual registrantIAPD 5614998

Feed of 09/15/2026

Also filed as A•••• R••••• M••••••••

At current firm

1 y

since Nov 1, 2024

In the industry

17 y

since Feb 20, 2009 (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

W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated current
since Nov 1, 2024 · Centennial, Co
H••••••••• G•••• E••••• • R••••••••• S••••••••• former
Nov 16, 2020 to Nov 1, 2024 · Centennial, Co
W•••• F•••• A••••••• wirehouse
Jul 24, 2019 to Nov 17, 2020 · Broomfield, Co
S•••••••• A••••••• L•• national BD
Apr 22, 2015 to May 11, 2018 · Broomfield, Co
C•••••• S••••• • C••• I••• national BD
Oct 19, 2011 to Mar 10, 2015 · Englewood, Co
E••••• J•••• national BD
Mar 3, 2009 to Aug 3, 2011 · Broomfield, Co

Moves

a registration end followed by a registration begin elsewhere

H••••••••• G•••• E••••• • R••••••••• S••••••••• to W••••• E••••••••• A••••••• S•••••••• L••
left Nov 1, 2024, registered Nov 1, 2024 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
W•••• F•••• A••••••• to H••••••••• G•••• E••••• • R••••••••• S•••••••••
left Nov 17, 2020, registered Nov 16, 2020 (-1 days) · Wirehouse to independent RIA
S•••••••• A••••••• L•• to W•••• F•••• A•••••••
left May 11, 2018, registered Jul 24, 2019 (439 days) · Affiliated broker-dealer or bank to wirehouse
C•••••• S••••• • C••• I••• to S•••••••• A••••••• L••
left Mar 10, 2015, registered Apr 22, 2015 (43 days) · Affiliated broker-dealer or bank to another · moved with a team
E••••• J•••• to C•••••• S••••• • C••• I•••
left Aug 3, 2011, registered Oct 19, 2011 (77 days) · Affiliated broker-dealer or bank to another

Signals

A•••• R••••• M•••••••• left H••••••••• G•••• E••••• • R••••••••• S••••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-11-01)
Nov 1, 2024 · 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address