DFX Intelligence
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Registered advisor
S•••• D••••••• S•••••••
Feed of 09/14/2026
Also filed as S•••• D••••••••• P•••• D••••••••• P•••• D••••••••• P•••• S•••••••
At current firm
1 y
since Jul 1, 2025
In the industry
27 y
since Oct 26, 1998 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
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•• BD affiliated currentsince Jul 1, 2025 · Broomfield, Co
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJul 13, 2011 to Apr 17, 2012 · Boulder, Co
- R•••••• J•••• • A••••••••• I••• national BDApr 30, 2009 to Jul 12, 2011 · Boulder, Co
- A••••••••• A•••••• S•••••••• I••• unclassifiedJan 18, 2007 to Feb 19, 2009 · Boulder, Co
- A• G• E•••••• • S•••• I••• unclassifiedOct 21, 2005 to Jun 1, 2006 · Broomfield, Co
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• I••••••••• R••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Apr 17, 2012, registered Jul 1, 2025 (4823 days) · Other
- R•••••• J•••• • A••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jul 12, 2011, registered Jul 13, 2011 (1 days) · Other
- A••••••••• A•••••• S•••••••• I••• to R•••••• J•••• • A••••••••• I•••left Feb 19, 2009, registered Apr 30, 2009 (70 days) · Other
- A• G• E•••••• • S•••• I••• to A••••••••• A•••••• S•••••••• I•••left Jun 1, 2006, registered Jan 18, 2007 (231 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address