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•••• M••••••• M•••

C••• L••BD affiliatedBoulder, Co IA-onlyIAPD 6224786

Certified Financial Planner

Feed of 09/14/2026

At current firm

2 y

since Nov 20, 2023

In the industry

10 y

since Nov 10, 2015 (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

C••• L•• BD affiliated current
since Nov 20, 2023 · Boulder, Co
B•••• W••••• A••••••• unclassified
Mar 5, 2020 to Sep 9, 2022 · Boulder, Co
L•• F•••••••• L•• BD affiliated
Jun 6, 2017 to Sep 27, 2022 · Boulder, Co
S•••••••• A••••••• L•• national BD
Jun 14, 2016 to May 9, 2017 · Greenwood Village, Co
H••••••••• G•••• E••••• • R••••••••• S••••••••• former
Mar 15, 2016 to May 26, 2016 · Seattle, Wa

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to B•••• W••••• A•••••••
left Sep 27, 2022, registered Mar 5, 2020 (-936 days) · Other
B•••• W••••• A••••••• to C••• L••
left Sep 9, 2022, registered Nov 20, 2023 (437 days) · Other
S•••••••• A••••••• L•• to L•• F•••••••• L••
left May 9, 2017, registered Jun 6, 2017 (28 days) · Other
H••••••••• G•••• E••••• • R••••••••• S••••••••• to S•••••••• A••••••• L••
left May 26, 2016, registered Jun 14, 2016 (19 days) · Other

Signals

A•••• M••••••• M••• left L•• F•••••••• L•• for B•••• W••••• A••••••• (registered 2020-03-05)
Sep 27, 2022 · Advisor changed firm · fact
A•••• M••••••• M••• left B•••• W••••• A••••••• for C••• L•• (registered 2023-11-20)
Sep 9, 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address