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••• B•••••

A••• A••••••• P•••••••BD affiliatedPagosa Springs, Co IA-onlyIAPD 5947257

Certified Financial Planner · Chartered Financial Analyst

Feed of 09/15/2026

Also filed as A••• B•••••

At current firm

1 y

since Jun 18, 2025

In the industry

15 y

since Jul 11, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••• A••••••• P••••••• BD affiliated current
since Jun 18, 2025 · Pagosa Springs, Co
S•••••••• I••••••••• A•••••••• L•• former
Jun 12, 2023 to Jul 11, 2025 · Pagosa Springs, Co
L•• F•••••••• L•• BD affiliated
Sep 23, 2021 to Jun 8, 2023 · Pagosa Springs, Co
S•• BD affiliated
Mar 5, 2021 to Sep 23, 2021 · Ann Arbor, Mi
S•••••••• A•••••• N•••••• independent RIA
Jan 31, 2020 to Mar 10, 2021 · Denver, Co
A• S•••••• W•• T• I••••• asset manager
Aug 2, 2017 to Mar 10, 2021 · Brighton, Mi
S•• BD affiliated
Jul 21, 2016 to Aug 3, 2017 · Waterford, Mi
A• S•••••• W•• T• I••••• asset manager
Apr 26, 2013 to Nov 4, 2015 · Brighton, Mi
S•••••••• A•••••• N•••••• independent RIA
Jul 13, 2011 to Nov 4, 2015 · Brighton, Mi

Moves

a registration end followed by a registration begin elsewhere

S•••••••• I••••••••• A•••••••• L•• to A••• A••••••• P•••••••
left Jul 11, 2025, registered Jun 18, 2025 (-23 days) · RIA to RIA · moved with a team
L•• F•••••••• L•• to S•••••••• I••••••••• A•••••••• L••
left Jun 8, 2023, registered Jun 12, 2023 (4 days) · Affiliated broker-dealer or bank to independent RIA
S•• to L•• F•••••••• L••
left Sep 23, 2021, registered Sep 23, 2021 (0 days) · Affiliated broker-dealer or bank to another
A• S•••••• W•• T• I••••• to S•••••••• A•••••• N••••••
left Mar 10, 2021, registered Jan 31, 2020 (-404 days) · Other
S•••••••• A•••••• N•••••• to S••
left Mar 10, 2021, registered Mar 5, 2021 (-5 days) · RIA to affiliated broker-dealer or bank
S•• to A• S•••••• W•• T• I•••••
left Aug 3, 2017, registered Aug 2, 2017 (-1 days) · Other
A• S•••••• W•• T• I••••• to S••
left Nov 4, 2015, registered Jul 21, 2016 (260 days) · Other
S•••••••• A•••••• N•••••• to A• S•••••• W•• T• I•••••
left Nov 4, 2015, registered Apr 26, 2013 (-922 days) · Other

Signals

A••• B••••• left S•••••••• I••••••••• A•••••••• L•• for A••• A••••••• P••••••• (registered 2025-06-18)
Jul 11, 2025 · a•••••• firm change · fact
A••• B••••• left L•• F•••••••• L•• for S•••••••• I••••••••• A•••••••• L•• (registered 2023-06-12)
Jun 8, 2023 · a•••••• firm change · 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