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
S•••• B•••• D•••••
Feed of 09/14/2026
Also filed as S••••• D••••••••• D••••••••• B•••• D••••••••• B• D•••••
At current firm
14 y
since Jan 31, 2012
In the industry
32 y
since Sep 21, 1994 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
6
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- W•••• F•••• A••••••• wirehouse currentsince Jan 31, 2012 · Colorado Springs, Co
- U••• B•••••• I••••••••• I••• formerMay 18, 2010 to Feb 7, 2012 · Denver, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 8, 2008 to May 19, 2010 · Spokane, Wa
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left Feb 7, 2012, registered Jan 31, 2012 (-7 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• B•••••• I••••••••• I•••left May 19, 2010, registered May 18, 2010 (-1 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address