DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
R•••• T••••• D•••••
Feed of 09/14/2026
Also filed as R•••• A• H••••••••• A•• T••••••••• A•• H••••••••• A• H••••••••• A• D••••••••• H• T•••••
At current firm
2 y
since Oct 19, 2023
In the industry
40 y
since Nov 19, 1985 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Oct 19, 2023 · Colorado Springs, Co
- W•••• F•••• A••••••• wirehouseJun 16, 2000 to Oct 24, 2023 · Colorado Springs, Co
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Oct 24, 2023, registered Oct 19, 2023 (-5 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedOct 24, 2023 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address