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

P••••• A••••• C••••••••

O•••• W•••••• I•••BD affiliatedDenver, Codual registrantIAPD 6404184

Feed of 09/14/2026

At current firm

1 y

since Aug 1, 2025

In the industry

11 y

since Dec 29, 2014 (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

O•••• W•••••• I••• BD affiliated current
since Aug 1, 2025 · Denver, Co
J•• W••••• M••••••••• L•• independent RIA
May 5, 2021 to Dec 12, 2023 · Centennial, Co
C•••• P••••••••• L•• unclassified
Nov 25, 2020 to Oct 31, 2023 · Lone Tree, Co
C••••• H•••• I••••••••• A•••••••• I••• former
Jan 27, 2017 to Apr 4, 2017 · Greenwood Village, Co
S••••••••• P•••••• C•••••• M••••••••• L•• other
Jan 1, 2015 to Mar 19, 2020 · Columbia, Sc

Moves

a registration end followed by a registration begin elsewhere

J•• W••••• M••••••••• L•• to O•••• W•••••• I•••
left Dec 12, 2023, registered Aug 1, 2025 (598 days) · RIA to affiliated broker-dealer or bank
C•••• P••••••••• L•• to J•• W••••• M••••••••• L••
left Oct 31, 2023, registered May 5, 2021 (-909 days) · Other
S••••••••• P•••••• C•••••• M••••••••• L•• to C••••• H•••• I••••••••• A•••••••• I•••
left Mar 19, 2020, registered Jan 27, 2017 (-1147 days) · Other
C••••• H•••• I••••••••• A•••••••• I••• to C•••• P••••••••• L••
left Apr 4, 2017, registered Nov 25, 2020 (1331 days) · Other

Signals

P••••• A••••• C•••••••• left J•• W••••• M••••••••• L•• for O•••• W•••••• I••• (registered 2025-08-01)
Dec 12, 2023 · Advisor changed firm · fact
P••••• A••••• C•••••••• left C•••• P••••••••• L•• for J•• W••••• M••••••••• L•• (registered 2021-05-05)
Oct 31, 2023 · 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address