DFX Intelligence
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Registered advisor
S•••• D•••••• S•••••
Feed of 09/14/2026
At current firm
0 y
since Apr 16, 2026
In the industry
26 y
since Apr 28, 2000 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Apr 16, 2026 · Reno, Nv
- W•••• F•••• A••••••• wirehouseDec 1, 2022 to Apr 16, 2026 · Greenwood Village, Co
- R•••••• J•••• • A••••••••• I••• national BDApr 9, 2020 to Nov 22, 2022 · Denver, Co
- W•••• F•••• A••••••• wirehouseMar 5, 2014 to Apr 13, 2020 · Greenwood Village, Co
- W•••• F•••• A••••••• wirehouseOct 2, 2009 to Jul 16, 2013 · Denver, Co
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 3, 2009 · Denver, Co
- M••••• S•••••• • C•• L•• unclassifiedOct 6, 2008 to Jun 1, 2009 · Denver, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 23, 2004 to Jul 9, 2008 · Tucson, Az
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Apr 16, 2026, registered Apr 16, 2026 (0 days) · channel change inside one enterprise, not a move · moved with a team
- R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••left Nov 22, 2022, registered Dec 1, 2022 (9 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Apr 13, 2020, registered Apr 9, 2020 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to W•••• F•••• A•••••••left Sep 3, 2009, registered Oct 2, 2009 (29 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Jul 9, 2008, registered Oct 6, 2008 (89 days) · Other
Signals
- ••• LockedNov 22, 2022 · 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address