DFX Intelligence
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Registered advisor
R••• D••••• L••••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
2 y
since Jun 7, 2024
In the industry
27 y
since Jul 22, 1999 (earliest exam, job or registration)
Prior registered firms
4
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jun 7, 2024 · Boulder, Co
- M••••• S•••••• wirehouseMay 16, 2011 to Jun 13, 2024 · Boulder, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 3, 2004 to May 18, 2011 · Boulder, Co
- R••••• W• B•••• • C•• I••••••••• mixed wealthMay 13, 2002 to Sep 15, 2004 · Boulder, Co
- S••••• C•••••• M••••••••• I•• unclassifiedOct 5, 2001 to May 22, 2002 · Menomonee Falls, Wi
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Jun 13, 2024, registered Jun 7, 2024 (-6 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left May 18, 2011, registered May 16, 2011 (-2 days) · Wirehouse to wirehouse
- R••••• W• B•••• • C•• I••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 15, 2004, registered Sep 3, 2004 (-12 days) · Other
- S••••• C•••••• M••••••••• I•• to R••••• W• B•••• • C•• I•••••••••left May 22, 2002, registered May 13, 2002 (-9 days) · Other
Signals
- ••• LockedJun 13, 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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address