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

B•••• M•••••• T•••

E•••••• A••••••• G••••• L••BD affiliatedGreenwood Village, Co IA-onlyIAPD 6193009

Feed of 09/14/2026

At current firm

3 y

since Apr 3, 2023

In the industry

13 y

since Jul 27, 2013 (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

E•••••• A••••••• G••••• L•• BD affiliated current
since Apr 3, 2023 · Ozark, Mo
P••••••• C•••••• A••••••• C••••••••• former
Oct 17, 2022 to Apr 3, 2023 · Aubrey, Tx
F••••• I••••••••• independent RIA
Dec 11, 2019 to Oct 18, 2022 · Plano, Tx
T• A••••••••• I••• former
Feb 27, 2018 to Nov 19, 2019 · Springfield, Mo
T• A••••••••• I••••••••• M••••••••• L•• former
Feb 26, 2018 to Nov 19, 2019 · Omaha, Ne
S•••••••• I••••••••• M••••••••• former
Aug 11, 2016 to Feb 26, 2018 · Saint Louis, Mo
E••••• J•••• national BD
Sep 23, 2013 to Feb 11, 2014 · Yukon, Ok

Moves

a registration end followed by a registration begin elsewhere

P••••••• C•••••• A••••••• C••••••••• to E•••••• A••••••• G••••• L••
left Apr 3, 2023, registered Apr 3, 2023 (0 days) · corporate re-registration, not a move
F••••• I••••••••• to P••••••• C•••••• A••••••• C•••••••••
left Oct 18, 2022, registered Oct 17, 2022 (-1 days) · RIA to RIA · moved with a team
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Nov 19, 2019, registered Feb 27, 2018 (-630 days) · channel change inside one enterprise, not a move
T• A••••••••• I••• to F••••• I•••••••••
left Nov 19, 2019, registered Dec 11, 2019 (22 days) · Other
S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
E••••• J•••• to S•••••••• I••••••••• M•••••••••
left Feb 11, 2014, registered Aug 11, 2016 (912 days) · Other

Signals

B•••• M•••••• T••• left F••••• I••••••••• for P••••••• C•••••• A••••••• C••••••••• (registered 2022-10-17)
Oct 18, 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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address