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

D••••••• S• A•••••••

E•••• S••••••••• L••BD affiliatedDenver, Codual registrantIAPD 6153470

Feed of 09/14/2026

Also filed as D••••••• A•••••••

At current firm

1 y

since Aug 13, 2025

In the industry

14 y

since Dec 1, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E•••• S••••••••• L•• BD affiliated current
since Aug 13, 2025 · Denver, Co
L•• E••••••••• L•• BD affiliated
Nov 14, 2024 to Apr 7, 2025 · Englewood, Co
P•••• S••••••••• L•• no RAUM
Mar 15, 2023 to Nov 14, 2024 · Englewood, Co
T••••••••• F•••••••• A•••••••• L•• BD affiliated
Apr 20, 2022 to Aug 10, 2022 · Sugar Land, Tx
M••••• O• O•••• I••••••• S•••••••• I••• independent RIA
Feb 5, 2018 to Mar 15, 2022 · The Woodlands, Tx

Moves

a registration end followed by a registration begin elsewhere

L•• E••••••••• L•• to E•••• S••••••••• L••
left Apr 7, 2025, registered Aug 13, 2025 (128 days) · Affiliated broker-dealer or bank to another
P•••• S••••••••• L•• to L•• E••••••••• L••
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
T••••••••• F•••••••• A•••••••• L•• to P•••• S••••••••• L••
left Aug 10, 2022, registered Mar 15, 2023 (217 days) · Affiliated broker-dealer or bank to another
M••••• O• O•••• I••••••• S•••••••• I••• to T••••••••• F•••••••• A•••••••• L••
left Mar 15, 2022, registered Apr 20, 2022 (36 days) · Other

Signals

D••••••• S• A••••••• left L•• E••••••••• L•• for E•••• S••••••••• L•• (registered 2025-08-13)
Apr 7, 2025 · Advisor changed firm · fact
D••••••• S• A••••••• left T••••••••• F•••••••• A•••••••• L•• for P•••• S••••••••• L•• (registered 2023-03-15)
Aug 10, 2022 · Advisor changed firm · fact
D••••••• S• A••••••• left M••••• O• O•••• I••••••• S•••••••• I••• for T••••••••• F•••••••• A•••••••• L•• (registered 2022-04-20)
Mar 15, 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