DFX Intelligence
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Registered advisor
D•••• R• T•••••
Feed of 09/14/2026
Also filed as D•••• R•••••• T•••••
At current firm
2 y
since Jan 19, 2024
In the industry
40 y
since Jan 1, 1986 (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
S66, 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
- O••••••••• S••••••••• I••• BD affiliated currentsince Jan 19, 2024 · Scottsbluff, Ne
- O• I••••••••• M••••••••• C• BD affiliatedFeb 21, 2006 to Mar 28, 2006 · Scottsbluff, Ne
Moves
a registration end followed by a registration begin elsewhere
- O• I••••••••• M••••••••• C• to O••••••••• S••••••••• I•••left Mar 28, 2006, registered Jan 19, 2024 (6506 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address