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

R••••• G•••••• S••••••

U••• B•••••• A•••••••• L••BD affiliatedAspen, Co dual registrantIAPD 7138436

Feed of 09/15/2026

Also filed as R•••••L G•••••• S••••••

At current firm

0 y

since Feb 13, 2026

In the industry

13 y

since Aug 1, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, 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••• B•••••• A•••••••• L•• BD affiliated current
since Feb 13, 2026 · Avon, Co
U••• B•••••• I••••••••• I••• former
May 14, 2024 to Feb 13, 2026 · Dillon, Co
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Oct 7, 2022 to May 14, 2024 · Denver, Co
E•••••••• A•••••••• L•• national BD
Oct 7, 2020 to Oct 12, 2022 · Greenwood Village, Co
A• W••••• M••••••••• L•• BD affiliated
Jul 10, 2019 to Jun 12, 2020 · Englewood, Co

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••
left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
C•••••••• I••••••••• R••••••• A•••••••• I••• to U••• B•••••• I••••••••• I•••
left May 14, 2024, registered May 14, 2024 (0 days) · Affiliated broker-dealer or bank to another
E•••••••• A•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Oct 12, 2022, registered Oct 7, 2022 (-5 days) · Affiliated broker-dealer or bank to another
A• W••••• M••••••••• L•• to E•••••••• A•••••••• L••
left Jun 12, 2020, registered Oct 7, 2020 (117 days) · RIA to affiliated broker-dealer or bank

Signals

R••••• G•••••• S•••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for U••• B•••••• I••••••••• I••• (registered 2024-05-14)
May 14, 2024 · Advisor changed firm · fact
R••••• G•••••• S•••••• left E•••••••• A•••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2022-10-07)
Oct 12, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address