DFX Intelligence
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Registered advisor
R•••• S•• S••••
Feed of 09/14/2026
Also filed as R•••• B••••••••• B•••••
At current firm
1 y
since Feb 20, 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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Feb 20, 2025 · Billings, Mt
- C•••••••• F•••••••• G•••• A••••••• formerJun 7, 2010 to Feb 20, 2025 · Billings, Mt
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedAug 20, 2008 to May 21, 2010 · Spokane, Wa
- F•••• W••• S••••• C•••• unclassifiedFeb 8, 2008 to Aug 21, 2008 · Billings, Mt
- M•• F•••••••• S•••••••• I••• formerDec 6, 2005 to Nov 28, 2007 · Billings, Mt
- M•••••• I••••••••• F••• S••••••• L•• unclassifiedApr 15, 2002 to Dec 31, 2005 · Alpharetta, Ga
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• F•••••••• G•••• A••••••• to C••••• I••••••••• A••••••• L••left Feb 20, 2025, registered Feb 20, 2025 (0 days) · corporate re-registration, not a move
- U•••• F•••••••• S••••••• G••••• I••• to C•••••••• F•••••••• G•••• A•••••••left May 21, 2010, registered Jun 7, 2010 (17 days) · Other
- F•••• W••• S••••• C•••• to U•••• F•••••••• S••••••• G••••• I•••left Aug 21, 2008, registered Aug 20, 2008 (-1 days) · Other
- M•• F•••••••• S•••••••• I••• to F•••• W••• S••••• C••••left Nov 28, 2007, registered Feb 8, 2008 (72 days) · Other
- M•••••• I••••••••• F••• S••••••• L•• to M•• F•••••••• S•••••••• I•••left Dec 31, 2005, registered Dec 6, 2005 (-25 days) · corporate re-registration, not a move
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