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

P••• R•••••• C•••••••••

R•••• I••••••••• A••••••• L••BD affiliatedKentwood, Mi IA-onlyIAPD 3135436

Feed of 09/14/2026

Also filed as P••• R•••••• C•••••••••

At current firm

2 y

since Jul 22, 2024

In the industry

28 y

since Apr 1, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•••• I••••••••• A••••••• L•• BD affiliated current
since Jul 22, 2024 · Denver, Co
O•••• W•••••• I••• BD affiliated
Jan 19, 2024 to Aug 9, 2024 · Denver, Co
W••••••• F•••••••• S•••••••• I••• former
Jul 13, 2022 to Jan 19, 2024 · Torrance, Ca
A••••••••• W••••• P••••••• independent RIA
Jul 10, 2020 to Jul 14, 2022 · Denver, Co
W••••••• F•••••••• S•••••••• I••• former
Mar 1, 2019 to Jul 17, 2020 · Denver, Co
Q•••••• A•••• M••••••••• I••• former
Oct 17, 2017 to Mar 1, 2019 · Westminster, Co

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to R•••• I••••••••• A••••••• L••
left Aug 9, 2024, registered Jul 22, 2024 (-18 days) · Affiliated broker-dealer or bank to another
W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••
left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
A••••••••• W••••• P••••••• to W••••••• F•••••••• S•••••••• I•••
left Jul 14, 2022, registered Jul 13, 2022 (-1 days) · RIA to affiliated broker-dealer or bank
W••••••• F•••••••• S•••••••• I••• to A••••••••• W••••• P•••••••
left Jul 17, 2020, registered Jul 10, 2020 (-7 days) · Affiliated broker-dealer or bank to independent RIA
Q•••••• A•••• M••••••••• I••• to W••••••• F•••••••• S•••••••• I•••
left Mar 1, 2019, registered Mar 1, 2019 (0 days) · corporate re-registration, not a move

Signals

P••• R•••••• C••••••••• left O•••• W•••••• I••• for R•••• I••••••••• A••••••• L•• (registered 2024-07-22)
Aug 9, 2024 · Advisor changed firm · fact
P••• R•••••• C••••••••• left A••••••••• W••••• P••••••• for W••••••• F•••••••• S•••••••• I••• (registered 2022-07-13)
Jul 14, 2022 · 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address