DFX Intelligence
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Registered advisor
P••• C•••••••• S•••••
Feed of 09/14/2026
At current firm
7 y
since Mar 27, 2019
In the industry
43 y
since Jul 25, 1983 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Mar 27, 2019 · Greenwood Village, Co
- T••••• W••••• P••••••• L•• formerFeb 21, 2012 to Mar 28, 2012 · Baltimore, Md
Moves
a registration end followed by a registration begin elsewhere
- T••••• W••••• P••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Mar 28, 2012, registered Mar 27, 2019 (2555 days) · channel change inside one enterprise, not a move
Signals
No dated event on this person.
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
- National broker-dealer RIAderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address