DFX Intelligence
RIA Intelligence
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Registered advisor
T•••• S•••••
Chartered Financial Analyst
Feed of 09/14/2026
At current firm
19 y
since Jan 30, 2007
In the industry
34 y
since May 8, 1992 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- I•••••• C•••••• M••••••••• L•• state registered currentsince Jan 30, 2007 · Fort Collins, Co
- I•••••• C•••••• M••••••••• I••• unclassifiedOct 29, 2004 to Nov 7, 2007 · Fort Collins, Co
Moves
a registration end followed by a registration begin elsewhere
- I•••••• C•••••• M••••••••• I••• to I•••••• C•••••• M••••••••• L••left Nov 7, 2007, registered Jan 30, 2007 (-281 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address