DFX Intelligence
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Registered advisor
D•••• R• P••••••
Feed of 09/15/2026
Also filed as D•••• R•• P••••••
At current firm
1 y
since Mar 31, 2025
In the industry
25 y
since May 30, 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
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Castle Rock, Co
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDDec 3, 2013 to Jul 13, 2018 · Greenwood Village, Co
- U••• B•••••• I••••••••• I••• formerSep 30, 2010 to Apr 23, 2012 · Longmont, Co
- W•••• F•••• I••••••••• L•• unclassifiedNov 17, 2003 to Oct 12, 2010 · Colorado Springs, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 21, 2001 to Nov 13, 2003 · Colorado Springs, Co
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- U••• B•••••• I••••••••• I••• to S•••••••• A••••••• L••left Apr 23, 2012, registered Dec 3, 2013 (589 days) · Other
- W•••• F•••• I••••••••• L•• to U••• B•••••• I••••••••• I•••left Oct 12, 2010, registered Sep 30, 2010 (-12 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• I••••••••• L••left Nov 13, 2003, registered Nov 17, 2003 (4 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