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

S••• L••••

W•••••• A•••••••• L••independent RIAColorado Springs, Co IA-onlyIAPD 6914917

Certified Financial Planner

Feed of 09/15/2026

Also filed as S••• C L••••

At current firm

2 y

since Aug 6, 2024

In the industry

10 y

since Jun 1, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••••• A•••••••• L•• independent RIA current
since Aug 6, 2024 · Birmingham, Al
T• R••• P•••• A••••••• S•••••••• I••• BD affiliated
Jun 10, 2022 to Jul 31, 2024 · Colorado Springs, Co
E•••••• A••••••• G••••• L•• BD affiliated
Feb 1, 2022 to May 18, 2022 · Colorado Springs, Co
T• R••• P•••• A••••••• S•••••••• I••• BD affiliated
Apr 22, 2019 to Jan 25, 2022 · Colorado Springs, Co

Moves

a registration end followed by a registration begin elsewhere

T• R••• P•••• A••••••• S•••••••• I••• to W•••••• A•••••••• L••
left Jul 31, 2024, registered Aug 6, 2024 (6 days) · Affiliated broker-dealer or bank to independent RIA
E•••••• A••••••• G••••• L•• to T• R••• P•••• A••••••• S•••••••• I•••
left May 18, 2022, registered Jun 10, 2022 (23 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
T• R••• P•••• A••••••• S•••••••• I••• to E•••••• A••••••• G••••• L••
left Jan 25, 2022, registered Feb 1, 2022 (7 days) · Other · moved with a team

Signals

S••• L•••• left T• R••• P•••• A••••••• S•••••••• I••• for W•••••• A•••••••• L•• (registered 2024-08-06)
Jul 31, 2024 · Advisor changed firm · fact
S••• L•••• left E•••••• A••••••• G••••• L•• for T• R••• P•••• A••••••• S•••••••• I••• (registered 2022-06-10)
May 18, 2022 · Advisor changed firm · fact
S••• L•••• left T• R••• P•••• A••••••• S•••••••• I••• for E•••••• A••••••• G••••• L•• (registered 2022-02-01)
Jan 25, 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: Independent wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address