DFX Intelligence
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Registered advisor
C•••••••• T• B••••••
Feed of 09/14/2026
Also filed as C•••• T••••• B••••••••• B••••••••• T••••• B••••••
At current firm
1 y
since Mar 31, 2025
In the industry
27 y
since Sep 10, 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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Bethesda, Md
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDJul 24, 2008 to Jul 13, 2018 · Salt Lake City, Ut
- N••••••••• M••••• I••••••••• S••••••••• no RAUMApr 19, 2006 to Jul 8, 2008 · Farmington, Ut
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 28, 2005 to Feb 9, 2006 · Salt Lake City, Ut
- S•••••••• A••••••• L•• national BDMay 21, 2001 to Mar 7, 2005 · Salt Lake City, Ut
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- N••••••••• M••••• I••••••••• S••••••••• to S•••••••• A••••••• L••left Jul 8, 2008, registered Jul 24, 2008 (16 days) · Other
- C•••••••• G••••• M•••••• I••• to N••••••••• M••••• I••••••••• S•••••••••left Feb 9, 2006, registered Apr 19, 2006 (69 days) · Other
- S•••••••• A••••••• L•• to C•••••••• G••••• M•••••• I•••left Mar 7, 2005, registered Feb 28, 2005 (-7 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address