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••••• L••

M••••••BD affiliatedEnglewood, CoIA-onlyIAPD 6473148

Certified Financial Planner

Feed of 09/14/2026

Also filed as D••••• L••

At current firm

1 y

since Feb 28, 2025

In the industry

10 y

since May 19, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•••••• BD affiliated current
since Feb 28, 2025 · Englewood, Co
J•••••• W••••• former
Nov 30, 2021 to Mar 19, 2025 · Englewood, Co
M••••• M••••••••• W••••• L•• unclassified
Jan 12, 2021 to Nov 23, 2021 · Denver, Co
J•••••• W••••• former
Oct 22, 2020 to Oct 28, 2020 · Englewood, Co
S••••• W••••• A•••••••• I••• no RAUM
Jun 26, 2018 to Apr 2, 2019 · Lone Tree, Co
C•••••• S••••• • C••• I••• national BD
Mar 13, 2017 to Jun 26, 2018 · Lone Tree, Co

Moves

a registration end followed by a registration begin elsewhere

J•••••• W••••• to M••••••
left Mar 19, 2025, registered Feb 28, 2025 (-19 days) · RIA to affiliated broker-dealer or bank · moved with a team
M••••• M••••••••• W••••• L•• to J•••••• W•••••
left Nov 23, 2021, registered Nov 30, 2021 (7 days) · Other
J•••••• W••••• to M••••• M••••••••• W••••• L••
left Oct 28, 2020, registered Jan 12, 2021 (76 days) · Other
S••••• W••••• A•••••••• I••• to J•••••• W•••••
left Apr 2, 2019, registered Oct 22, 2020 (569 days) · Affiliated broker-dealer or bank to independent RIA
C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••
left Jun 26, 2018, registered Jun 26, 2018 (0 days) · channel change inside one enterprise, not a move

Signals

D••••• L•• left J•••••• W••••• for Mariner (registered 2025-02-28)
Mar 19, 2025 · 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