DFX Intelligence
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This advisor's name
Career history, every move, licensing and registration changes, outside business activity and the contact routes the firm publishes, each with the official record linked.
Includes 3 days of DFX Intelligence. Then $249/month unless canceled.
A Financial Advisor In Colorado
As of · the IAPD feed
- At current firm
- 2 y
- In the industry
- 26.6 y
- Prior registered firms
- 3
- Signals
- 1
since Jan 4, 2024
As of · the IAPD feed
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Recruiter briefHow to read thisEvery line is a fact from a public record, or a measurement DFX made on the registration history of every advisor (2023 to 2025 cohorts), read for this advisor’s own firm where the sample allows. A move indicator means advisors with that fact moved more often; a retention indicator means they moved less. Neither says what this person will do. Recruiting value and movement evidence are kept apart on purpose.
facts first, then what DFX measured about them; never a statement of intent
Recruiting value
- Practice attractivenesssome26.6 years in the industry
- Team depthnone0 of the 0 people who once moved firms with this advisor are registered here now (a team seen in registrations; web team pages are not used until they pass review).
- Entrepreneurial profilenoneNamed in the full brief.
- Real estate activitynoneNamed in the full brief.
- Contactabilitypartialfirm contact form or inbox
Movement evidence
- Movement signalnone0 of 0 dated or circumstantial readings historically went with moving. The forward-tested move model places this advisor in its Baseline band.
- Recent change activitynoneNamed in the full brief.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitysome2 prior firms, median stay 1.7 years.
Career
- 26.6 years in the industry
- 2.7 years at the current firm
- 2 prior registered firms; median stay 1.7 years
- Path: bank affiliated to independent RIA
Source: IAPD adviser registrations only (broker-only history is not in this feed)
Licensing and credentials
- Registered in 3 states (firm median 1)
- Exams: Series 63, Series 66
- Registered as a broker as well as an adviser
Source: IAPD individual feed; broker exams and states appear once the per-person record is read
Around this advisor
- 2 known colleagues changed firms in the last year
Regulatory record
In the full brief, with the official record linked.
+4 details in the full brief
The named explanations, the practice profile, what stands out and the conversation themes, with the official record linked.
Includes 3 days of DFX Intelligence. Then $249/month unless canceled.
Career stage and continuityWhat is shown hereTenure is counted from the first registration or exam on the SEC’s records, with how far the date can be trusted. It is context, not a prediction: nothing here says an advisor is near retirement, and no age is used or shown. A family relationship appears only when a professional page states it in words and both people are registered; a shared surname is never evidence. No relationship shown means none was found in the pages read, not that none exists.
industry tenure, firm tenure and ownership from professional records
- Industry tenure
- 26.6 years (20-30 years)derivedsince Feb 21, 2000; IAPD adviser feed; within a year of the SEC record for 83% in a blind check, and it can understate a long broker career
- Current-firm tenure
- 2.7 yearsderivedIAPD registration history (legal firm)
- Prior firms
- 3reported
- Owner or founder
- Owner, under 5%, Chief Executive OfficerreportedForm ADV Schedule A, owner since 2024-01
Registration history
IAPD current and previous registrations
- Gbm Wealth Management, Inc. independent RIA currentsince Jan 4, 2024 · Houston, Tx
- Gbm Wealth Management, Inc. independent RIAJul 20, 2011 to Jun 30, 2022 · Houston, Tx
- Citicorp Investment Services unclassifiedSep 29, 2004 to Apr 15, 2005 · Los Angeles, Ca
- Illac Advisors, Inc. unclassifiedJan 24, 2003 to Oct 13, 2004 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- Citicorp Investment Services to Gbm Wealth Management, Inc.left Apr 15, 2005, registered Jul 20, 2011 (2287 days) · Other
- Illac Advisors, Inc. to Citicorp Investment Servicesleft Oct 13, 2004, registered Sep 29, 2004 (-14 days) · Other
Signals
- May 20, 2026 · Owner of a newly registered adviser · fact
Transition signalsWhat these will draw onThe 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.
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 26.6 yderivedfrom the earlier of the first exam and the first registration on IAPD
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote