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

N•••• W• P•••••

T• R••• P•••• A••••••• S•••••••• I•••BD affiliatedColorado Springs, Codual registrantIAPD 5851189

Feed of 09/14/2026

Also filed as N•••• Winston P•••••

At current firm

4 y

since Aug 11, 2022

In the industry

14 y

since Mar 30, 2012 (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

T• R••• P•••• A••••••• S•••••••• I••• BD affiliated current
since Aug 11, 2022 · Colorado Springs, Co
E•••••• A••••••• G••••• L•• BD affiliated
Jan 27, 2022 to Jul 26, 2022 · Pueblo West, Co
T• R••• P•••• A••••••• S•••••••• I••• BD affiliated
Jul 26, 2016 to Jan 25, 2022 · Colorado Springs, Co
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 23, 2015 to Jun 8, 2016 · La Junta, Co
W•••••• • R••• former
Apr 2, 2012 to Nov 9, 2015 · La Junta, Co

Moves

a registration end followed by a registration begin elsewhere

E•••••• A••••••• G••••• L•• to T• R••• P•••• A••••••• S•••••••• I•••
left Jul 26, 2022, registered Aug 11, 2022 (16 days) · Affiliated broker-dealer or bank to independent RIA
T• R••• P•••• A••••••• S•••••••• I••• to E•••••• A••••••• G••••• L••
left Jan 25, 2022, registered Jan 27, 2022 (2 days) · Other · moved with a team
A••••••••• F•••••••• S•••••••• L•• to T• R••• P•••• A••••••• S•••••••• I•••
left Jun 8, 2016, registered Jul 26, 2016 (48 days) · Other
W•••••• • R••• to A••••••••• F•••••••• S•••••••• L••
left Nov 9, 2015, registered Oct 23, 2015 (-17 days) · Other

Signals

N•••• W• P••••• left E•••••• A••••••• G••••• L•• for T• R••• P•••• A••••••• S•••••••• I••• (registered 2022-08-11)
Jul 26, 2022 · Advisor changed firm · fact
N•••• W• P••••• left T• R••• P•••• A••••••• S•••••••• I••• for E•••••• A••••••• G••••• L•• (registered 2022-01-27)
Jan 25, 2022 · 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address