DFX Intelligence
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Registered advisor
P••• R•••••• W•••••
Feed of 09/14/2026
Also filed as P••• R••••
At current firm
13 y
since Oct 10, 2012
In the industry
40 y
since Apr 30, 1986 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
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
- W•••• F•••• A••••••• wirehouse currentsince Oct 10, 2012 · Greenwood Village, Co
- B••••••• I••••••••• S•••••••• I••• ••••• formerDec 14, 2006 to Aug 28, 2012 · Boulder, Co
- C••••• I••••••••• S••••••• L•• formerOct 27, 2005 to May 17, 2006 · Boulder, Co
- U••• B•••••• I••••••••• I••• formerAug 20, 2002 to Nov 15, 2004 · Denver, Co
Moves
a registration end followed by a registration begin elsewhere
- B••••••• I••••••••• S•••••••• I••• ••••• to W•••• F•••• A•••••••left Aug 28, 2012, registered Oct 10, 2012 (43 days) · Other
- C••••• I••••••••• S••••••• L•• to B••••••• I••••••••• S•••••••• I••• •••••left May 17, 2006, registered Dec 14, 2006 (211 days) · Other
- U••• B•••••• I••••••••• I••• to C••••• I••••••••• S••••••• L••left Nov 15, 2004, registered Oct 27, 2005 (346 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
- Wirehousederived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address