DFX Intelligence
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Registered advisor
B••••• M•••• H•••••••
Feed of 09/14/2026
Also filed as B• S••••••••• M• S••••••••• M•••• S•••••••
At current firm
3 y
since Jun 12, 2023
In the industry
27 y
since Jul 14, 1999 (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
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••••• I••••••••• A•••••••• L•• independent RIA currentsince Jun 12, 2023 · Indian Trail, Nc
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMar 8, 2017 to Jun 8, 2023 · Greenwood Village, Co
- M••••• S•••••• wirehouseJun 13, 2012 to Feb 21, 2017 · Greenwood Village, Co
- A••••••••• F•••••••• S•••••••• L•• national BDApr 6, 2011 to Jun 4, 2012 · Denver, Co
- A••••••••• F•••••••• S•••••••• L•• national BDMay 4, 2010 to Apr 5, 2011 · Denver, Co
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 2, 2008 to Jun 12, 2008 · Denver, Co
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••••••• I••••••••• A•••••••• L••left Jun 8, 2023, registered Jun 12, 2023 (4 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 21, 2017, registered Mar 8, 2017 (15 days) · Other · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to M••••• S••••••left Jun 4, 2012, registered Jun 13, 2012 (9 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••••• G••••• M•••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jun 12, 2008, registered May 4, 2010 (691 days) · Other
Signals
- ••• LockedJun 8, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address