DFX Intelligence
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Registered advisor
A•••••• D••••• P•••
Feed of 09/15/2026
At current firm
3 y
since May 17, 2023
In the industry
28 y
since Sep 18, 1998 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- C••••••••• I••••••••• A•••••••• L•• independent RIA currentsince May 17, 2023 · Greenwood Village, Co
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedNov 2, 2017 to May 26, 2023 · Greenwood Village, Co
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 6, 2017 · Greenwood Village, Co
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 24, 2008 to Jun 1, 2009 · Englewood, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 14, 2006 to Oct 28, 2008 · Greenwood Village, Co
- C•••••• S••••• • C••• I••• national BDAug 18, 2000 to Jul 21, 2006 · Englewood, Co
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••••••• I••••••••• A•••••••• L••left May 26, 2023, registered May 17, 2023 (-9 days) · corporate re-registration, not a move
- M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 6, 2017, registered Nov 2, 2017 (-4 days) · Other · moved with a team
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Oct 28, 2008, registered Oct 24, 2008 (-4 days) · Other
- C•••••• S••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 21, 2006, registered Jul 14, 2006 (-7 days) · Affiliated broker-dealer or bank to wirehouse
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address