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

E•••••••• A•• K••••

U•• F•••••••• S••••••• I•••wirehouseDenver, Codual registrantIAPD 6416338

Feed of 09/14/2026

Also filed as Elizabeth Ann Westbrook

At current firm

0 y

since May 14, 2026

In the industry

11 y

since Nov 1, 2014 (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

U•• F•••••••• S••••••• I••• wirehouse current
since May 14, 2026 · Denver, Co
L•• F•••••••• L•• BD affiliated
Jan 18, 2024 to May 15, 2026 · San Diego, Ca
R•••••• J•••• • A••••••••• I••• national BD
Oct 12, 2021 to Jun 29, 2023 · Denver, Co
W•••• F•••• A••••••• wirehouse
Aug 29, 2016 to Oct 12, 2021 · Southport, Nc

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to U•• F•••••••• S••••••• I•••
left May 15, 2026, registered May 14, 2026 (-1 days) · Affiliated broker-dealer or bank to wirehouse
R•••••• J•••• • A••••••••• I••• to L•• F•••••••• L••
left Jun 29, 2023, registered Jan 18, 2024 (203 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••
left Oct 12, 2021, registered Oct 12, 2021 (0 days) · Wirehouse to affiliated broker-dealer or bank

Signals

E•••••••• A•• K•••• left L•• F•••••••• L•• for U•• F•••••••• S••••••• I••• (registered 2026-05-14)
May 15, 2026 · Advisor changed firm · fact
E•••••••• A•• K•••• left R•••••• J•••• • A••••••••• I••• for L•• F•••••••• L•• (registered 2024-01-18)
Jun 29, 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: Wirehousederived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address