DFX Intelligence
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Registered advisor
S•••••• M• P••••
Feed of 09/14/2026
Also filed as S•••••• M• B••••••••• M• B••••••••• M• P••••••••• M••••••• P••••••••• M••••••• B•••••
At current firm
18 y
since Dec 19, 2007
In the industry
23 y
since Dec 17, 2002 (earliest exam, job or registration)
Prior registered firms
3
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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Dec 19, 2007 · Boulder, Co
- N••••••••• M••••• W••••• M••••••••• C•••••• unclassifiedJan 9, 2007 to Apr 30, 2007 · Milwaukee, Wi
- N••••••••• M••••• I••••••••• S••••••••• no RAUMMay 1, 2006 to Feb 21, 2007 · Longmont, Co
- R••••• W• B•••• • C•• I••••••••• mixed wealthDec 19, 2002 to Jul 28, 2004 · Boulder, Co
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• W••••• M••••••••• C•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 30, 2007, registered Dec 19, 2007 (233 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to N••••••••• M••••• W••••• M••••••••• C••••••left Feb 21, 2007, registered Jan 9, 2007 (-43 days) · Other
- R••••• W• B•••• • C•• I••••••••• to N••••••••• M••••• I••••••••• S•••••••••left Jul 28, 2004, registered May 1, 2006 (642 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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address