DFX Intelligence
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Registered advisor
R••• M•••••• H•••••
Feed of 09/14/2026
At current firm
8 y
since Jan 12, 2018
In the industry
25 y
since Jul 13, 2001 (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
S66, 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
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jan 12, 2018 · Colorado Springs, Co
- W•••• F•••• A••••••• wirehouseMar 14, 2008 to Jan 24, 2018 · Colorado Springs, Co
- U•• F•••••••• S••••••• I••• wirehouseApr 23, 2007 to Mar 26, 2008 · Colorado Springs, Co
- G•• C•••••• L•• unclassifiedJun 13, 2006 to Apr 13, 2007 · Centennial, Co
- L•• F•••••••• L•• BD affiliatedFeb 10, 2006 to Apr 24, 2006 · Colorado Springs, Co
- U•• F•••••••• S••••••• I••• wirehouseApr 18, 2002 to May 10, 2004 · Colorado Springs, Co
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Jan 24, 2018, registered Jan 12, 2018 (-12 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Mar 26, 2008, registered Mar 14, 2008 (-12 days) · Wirehouse to wirehouse
- G•• C•••••• L•• to U•• F•••••••• S••••••• I•••left Apr 13, 2007, registered Apr 23, 2007 (10 days) · Other
- L•• F•••••••• L•• to G•• C•••••• L••left Apr 24, 2006, registered Jun 13, 2006 (50 days) · Other
- U•• F•••••••• S••••••• I••• to L•• F•••••••• L••left May 10, 2004, registered Feb 10, 2006 (641 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address