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•••• R••• C••••••

U•••• W••••• S•••••••••state registeredColorado Springs, CoIA-onlyIAPD 7079009

Feed of 09/14/2026

At current firm

2 y

since Aug 21, 2024

In the industry

13 y

since Oct 1, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U•••• W••••• S••••••••• state registered current
since Aug 21, 2024 · Colorado Springs, Co
C••••••• F•••••••• S•••••••• I•• unclassified
Mar 21, 2022 to Sep 17, 2024 · Colorado Springs, Co
M••••• F•••••••• state registered
Mar 2, 2022 to Mar 23, 2022 · Monument, Co
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Jan 28, 2021 to Oct 1, 2021 · Colorado Spring, Co
M••••• O• O•••• I••••••• S•••••••• I••• independent RIA
Jul 10, 2019 to Jan 25, 2021 · Denver, Co

Moves

a registration end followed by a registration begin elsewhere

C••••••• F•••••••• S•••••••• I•• to U•••• W••••• S•••••••••
left Sep 17, 2024, registered Aug 21, 2024 (-27 days) · Other
M••••• F•••••••• to C••••••• F•••••••• S•••••••• I••
left Mar 23, 2022, registered Mar 21, 2022 (-2 days) · Other
C•••••••• I••••••••• R••••••• A•••••••• I••• to M••••• F••••••••
left Oct 1, 2021, registered Mar 2, 2022 (152 days) · Affiliated broker-dealer or bank to a state-registered adviser
M••••• O• O•••• I••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Jan 25, 2021, registered Jan 28, 2021 (3 days) · Other

Signals

S•••• R••• C•••••• left C••••••• F•••••••• S•••••••• I•• for U•••• W••••• S••••••••• (registered 2024-08-21)
Sep 17, 2024 · Advisor changed firm · fact
S•••• R••• C•••••• left M••••• F•••••••• for C••••••• F•••••••• S•••••••• I•• (registered 2022-03-21)
Mar 23, 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: STATE REGISTEREDderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address