DFX Intelligence
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S••••• S•••••• H••••••
As of · the IAPD feed; also filed as S••••• S• H••••••
- At current firm
- 19 y
- In the industry
- 31 y
- Prior registered firms
- 1
- Signals
- 1
since May 22, 2007
As of · the IAPD feed; also filed as S••••• S• H••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince May 22, 2007 · Boulder, Co
- T• A••••••••• I••• formerDec 14, 2021 to Oct 14, 2022 · Boulder, Co
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to no registered destinationleft Oct 14, 2022 · Departure, no registered destination
Signals
- ••• LockedOct 14, 2022 · Advisor departure · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address