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•••• R•••••• F•••••

L•• F•••••••• L••BD affiliatedFort Collins, Co dual registrantIAPD 5626416

Certified Financial Planner

Feed of 09/15/2026

Also filed as S•••• F•••••

At current firm

5 y

since Jul 21, 2021

In the industry

17 y

since Jun 17, 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

L•• F•••••••• L•• BD affiliated current
since Jul 21, 2021 · Montrose, Co
W•••••• • R••• former
Aug 31, 2020 to Jul 21, 2021 · Fort Collins, Co
S••••• W••••• A•••••••• I••• no RAUM
Jan 28, 2015 to Sep 2, 2020 · Lone Tree, Co
C•••••• S••••• • C••• I••• national BD
Apr 3, 2013 to Jan 28, 2015 · Englewood, Co
W•••••• • R••• former
Jun 19, 2009 to Apr 19, 2012 · Ft. Collins, Co

Moves

a registration end followed by a registration begin elsewhere

W•••••• • R••• to L•• F•••••••• L••
left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
S••••• W••••• A•••••••• I••• to W•••••• • R•••
left Sep 2, 2020, registered Aug 31, 2020 (-2 days) · Other
C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••
left Jan 28, 2015, registered Jan 28, 2015 (0 days) · channel change inside one enterprise, not a move
W•••••• • R••• to C•••••• S••••• • C••• I•••
left Apr 19, 2012, registered Apr 3, 2013 (349 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address