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

C••••••••• D••••••

W•••• F•••• A•••••••wirehouseDenver, Codual registrantIAPD 6023741

Feed of 09/14/2026

At current firm

0 y

since Aug 13, 2026

In the industry

14 y

since Mar 13, 2012 (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

W•••• F•••• A••••••• wirehouse current
since Aug 13, 2026 · Denver, Co
P•• W••••• M••••••••• BD affiliated
Mar 14, 2024 to Aug 10, 2026 · Fort Collins, Co
K•• I••••••••• S••••••• L•• BD affiliated
Jun 2, 2022 to Mar 11, 2024 · Brooklyn, Oh
W•••• F•••• A••••••• wirehouse
Sep 30, 2016 to May 26, 2022 · Minneapolis, Mn

Moves

a registration end followed by a registration begin elsewhere

P•• W••••• M••••••••• to W•••• F•••• A•••••••
left Aug 10, 2026, registered Aug 13, 2026 (3 days) · Affiliated broker-dealer or bank to wirehouse
K•• I••••••••• S••••••• L•• to P•• W••••• M•••••••••
left Mar 11, 2024, registered Mar 14, 2024 (3 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to K•• I••••••••• S••••••• L••
left May 26, 2022, registered Jun 2, 2022 (7 days) · Wirehouse to affiliated broker-dealer or bank

Signals

C••••••••• D•••••• left P•• W••••• M••••••••• for W•••• F•••• A••••••• (registered 2026-08-13)
Aug 10, 2026 · Advisor changed firm · fact
C••••••••• D•••••• left K•• I••••••••• S••••••• L•• for P•• W••••• M••••••••• (registered 2024-03-14)
Mar 11, 2024 · Advisor changed firm · fact
C••••••••• D•••••• left W•••• F•••• A••••••• for K•• I••••••••• S••••••• L•• (registered 2022-06-02)
May 26, 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: Wirehousederived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address