DFX Intelligence
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Registered advisor
C•••• M•••••• S•••
C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedColorado Springs, Co dual registrantIAPD 4201336
Feed of 09/15/2026
At current firm
16 y
since May 10, 2010
In the industry
25 y
since Nov 2, 2000 (earliest exam, job or registration)
Prior registered firms
4
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince May 10, 2010 · Mead, Co
- S••••• W••••• G••••• I••• unclassifiedAug 8, 2008 to Jun 12, 2009 · Colorado Springs, Co
- C••••••••• F•••••••• N•••••• national BDFeb 7, 2008 to Apr 30, 2010 · Colorado Springs, Co
- C••••• A•••••• N••••••• L•• formerJun 29, 2005 to Jan 16, 2008 · Colorado Springs, Co
- L•••••• I••••••••• independent RIAAug 16, 2004 to Mar 9, 2005 · Colorado Springs, Co
Moves
a registration end followed by a registration begin elsewhere
- C••••••••• F•••••••• N•••••• to S••••• W••••• G••••• I•••left Apr 30, 2010, registered Aug 8, 2008 (-630 days) · Other
- S••••• W••••• G••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jun 12, 2009, registered May 10, 2010 (332 days) · Other
- C••••• A•••••• N••••••• L•• to C••••••••• F•••••••• N••••••left Jan 16, 2008, registered Feb 7, 2008 (22 days) · Other
- L•••••• I••••••••• to C••••• A•••••• N••••••• L••left Mar 9, 2005, registered Jun 29, 2005 (112 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address