DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

T••••• A••• R••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedRoaring River, Ncdual registrantIAPD 2729198

Feed of 09/14/2026

At current firm

1 y

since Dec 13, 2024

In the industry

30 y

since Jun 21, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Dec 13, 2024 · Roaring River, Nc
L•• F•••••••• L•• BD affiliated
Apr 17, 2024 to Dec 17, 2024 · Roaring River, Nc
C•••• C•••••• S••••••••• L••• former
Jan 4, 2016 to Apr 17, 2024 · Littleton, Co
S••••••••• A•••••• A•••••••• I••• former
Nov 14, 2014 to Dec 31, 2015 · Littleton, Co
S••••• F•••••••• S•••••••• I••• former
Aug 14, 2007 to Nov 14, 2014 · Littleton, Co
A••••••• P••••••••• A•••••••• I•• former
Jun 13, 2007 to Jul 31, 2007 · Holbrook, Ny
U••••• S••••••••• A•••••••• I••• unclassified
Apr 3, 2003 to Feb 28, 2007 · Littleton, Co
F•• A••••••• S••••••• I•• unclassified
Jan 1, 1999 to Apr 17, 2003 · Golden, Co

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Dec 17, 2024, registered Dec 13, 2024 (-4 days) · Affiliated broker-dealer or bank to another
C•••• C•••••• S••••••••• L••• to L•• F•••••••• L••
left Apr 17, 2024, registered Apr 17, 2024 (0 days) · Affiliated broker-dealer or bank to another
S••••••••• A•••••• A•••••••• I••• to C•••• C•••••• S••••••••• L•••
left Dec 31, 2015, registered Jan 4, 2016 (4 days) · Other
S••••• F•••••••• S•••••••• I••• to S••••••••• A•••••• A•••••••• I•••
left Nov 14, 2014, registered Nov 14, 2014 (0 days) · corporate re-registration, not a move
A••••••• P••••••••• A•••••••• I•• to S••••• F•••••••• S•••••••• I•••
left Jul 31, 2007, registered Aug 14, 2007 (14 days) · Other
U••••• S••••••••• A•••••••• I••• to A••••••• P••••••••• A•••••••• I••
left Feb 28, 2007, registered Jun 13, 2007 (105 days) · Other
F•• A••••••• S••••••• I•• to U••••• S••••••••• A•••••••• I•••
left Apr 17, 2003, registered Apr 3, 2003 (-14 days) · Other

Signals

T••••• A••• R•• left L•• F•••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2024-12-13)
Dec 17, 2024 · Advisor changed firm · fact
T••••• A••• R•• left C•••• C•••••• S••••••••• L••• for L•• F•••••••• L•• (registered 2024-04-17)
Apr 17, 2024 · Advisor changed firm · fact

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: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address