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

D••• C••••••••• B•••• A••••

N• A•••••••state registeredBrewster, Ks dual registrantIAPD 1453479

Feed of 09/15/2026

Also filed as D••• C••••••••• A••••

At current firm

1 y

since Jan 2, 2025

In the industry

38 y

since Oct 1, 1987 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

N• A••••••• state registered current
since Jan 2, 2025 · Brewster, Ks
F•••••••• C•••••• A••••••• I••• unclassified
Sep 23, 2013 to Jan 11, 2018 · Aurora, Co
P••••••••• B••••••••• F•••••••• P•••••••• I••• unclassified
Aug 3, 2009 to Dec 21, 2021 · Denver, Co
Q•• F•••••••• L•• unclassified
Jun 6, 2007 to Aug 3, 2009 · Brewster, Ks
S••••• F•••••••• S•••••••• I••• former
Jun 19, 2006 to May 31, 2007 · Westminster, Co
M••••• S•••••• C••••••••• unclassified
Apr 4, 2002 to Jan 14, 2005 · Littleton, Co

Moves

a registration end followed by a registration begin elsewhere

P••••••••• B••••••••• F•••••••• P•••••••• I••• to F•••••••• C•••••• A••••••• I•••
left Dec 21, 2021, registered Sep 23, 2013 (-3011 days) · Other
F•••••••• C•••••• A••••••• I••• to N• A•••••••
left Jan 11, 2018, registered Jan 2, 2025 (2548 days) · Other
Q•• F•••••••• L•• to P••••••••• B••••••••• F•••••••• P•••••••• I•••
left Aug 3, 2009, registered Aug 3, 2009 (0 days) · Other
S••••• F•••••••• S•••••••• I••• to Q•• F•••••••• L••
left May 31, 2007, registered Jun 6, 2007 (6 days) · Other
M••••• S•••••• C••••••••• to S••••• F•••••••• S•••••••• I•••
left Jan 14, 2005, registered Jun 19, 2006 (521 days) · Other

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: STATE REGISTEREDderived
Years in industry: 38derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address