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

K•••••• D•••• C•••••••

S••••• F••••••••• L••BD affiliatedFort Collins, CoIA-onlyIAPD 5703205

Certified Financial Planner

Feed of 09/14/2026

Also filed as K•••••• C•••••••

At current firm

2 y

since Jan 22, 2024

In the industry

16 y

since Dec 14, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S••••• F••••••••• L•• BD affiliated current
since Jan 22, 2024 · Fort Collins, Co
F•••• independent RIA
Mar 20, 2020 to Aug 14, 2023 · West Palm Beach, Fl
C•••••• S••••• • C••• I••• national BD
Jan 23, 2017 to Mar 27, 2020 · Lone Tree, Co
S•••••••• A••••••• L•• national BD
Dec 1, 2014 to Dec 23, 2016 · Westlake, Tx
T• A••••••••• I••••••••• M••••••••• L•• former
Jun 1, 2011 to Nov 3, 2014 · Fort Worth, Tx
T• A••••••••• I••• former
Jun 1, 2011 to Nov 3, 2014 · Fort Worth, Tx

Moves

a registration end followed by a registration begin elsewhere

F•••• to S••••• F••••••••• L••
left Aug 14, 2023, registered Jan 22, 2024 (161 days) · RIA to affiliated broker-dealer or bank
C•••••• S••••• • C••• I••• to F••••
left Mar 27, 2020, registered Mar 20, 2020 (-7 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••
left Dec 23, 2016, registered Jan 23, 2017 (31 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••••••••• M••••••••• L•• to S•••••••• A••••••• L••
left Nov 3, 2014, registered Dec 1, 2014 (28 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Nov 3, 2014, registered Jun 1, 2011 (-1251 days) · channel change inside one enterprise, not a move

Signals

K•••••• D•••• C••••••• left Facet for S••••• F••••••••• L•• (registered 2024-01-22)
Aug 14, 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address