DFX Intelligence
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Registered advisor
N•••• D•••••• C••••••
Certified Financial Planner
Feed of 09/15/2026
At current firm
15 y
since Aug 11, 2011
In the industry
31 y
since Oct 25, 1994 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R••••• W• B•••• • C•• I••••••••• mixed wealth currentsince Aug 11, 2011 · Denver, Co
- C•••••• S••••• • C••• I••• national BDAug 5, 1999 to Aug 25, 2011 · Denver, Co
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to R••••• W• B•••• • C•• I•••••••••left Aug 25, 2011, registered Aug 11, 2011 (-14 days) · Other
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address