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••••• C•••

P•• W••••• M•••••••••BD affiliatedHighlands Ranch, Co dual registrantIAPD 5934341

Feed of 09/15/2026

Also filed as S••••• Y C•••

At current firm

0 y

since May 14, 2026

In the industry

15 y

since Jun 28, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

P•• W••••• M••••••••• BD affiliated current
since May 14, 2026 · Centennial, Co
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2024 to Apr 28, 2026 · Aurora, Co
K•• I••••••••• S••••••• L•• BD affiliated
Oct 23, 2023 to Oct 2, 2024 · Aurora, Co
F••••••• P••••••• A•• W•••••••• A••••••• former
Aug 10, 2021 to Oct 6, 2023 · Greenwood Village, Co
W•••• F•••• A••••••• wirehouse
Jan 2, 2015 to Apr 23, 2021 · Greenwood Village, Co
A••••• A•• P••••••• S••••••• BD affiliated
Sep 16, 2013 to Jun 26, 2014 · Denver, Co

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to P•• W••••• M•••••••••
left Apr 28, 2026, registered May 14, 2026 (16 days) · Wirehouse to affiliated broker-dealer or bank
K•• I••••••••• S••••••• L•• to J••• M••••• S••••••••• L••
left Oct 2, 2024, registered Oct 1, 2024 (-1 days) · Affiliated broker-dealer or bank to wirehouse
F••••••• P••••••• A•• W•••••••• A••••••• to K•• I••••••••• S••••••• L••
left Oct 6, 2023, registered Oct 23, 2023 (17 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Apr 23, 2021, registered Aug 10, 2021 (109 days) · Wirehouse to affiliated broker-dealer or bank
A••••• A•• P••••••• S••••••• to W•••• F•••• A•••••••
left Jun 26, 2014, registered Jan 2, 2015 (190 days) · Other

Signals

S••••• C••• left J••• M••••• S••••••••• L•• for P•• W••••• M••••••••• (registered 2026-05-14)
Apr 28, 2026 · Advisor changed firm · fact
S••••• C••• left K•• I••••••••• S••••••• L•• for J••• M••••• S••••••••• L•• (registered 2024-10-01)
Oct 2, 2024 · Advisor changed firm · fact
S••••• C••• left F••••••• P••••••• A•• W•••••••• A••••••• for K•• I••••••••• S••••••• L•• (registered 2023-10-23)
Oct 6, 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: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address