DFX Intelligence
RIA Intelligence
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Registered advisor
M••• A• S•••••••••
Feed of 09/14/2026
At current firm
5 y
since Jul 27, 2021
In the industry
23 y
since Aug 15, 2003 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
2
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
- C••••••• P••••••• independent RIA currentsince Mar 16, 2026 · Louisville, Co
- C••••••• P••••••• I••••••••• A•••••••• L•• i••••••••• manager currentsince Jul 27, 2021 · Louisville, Co
- P•••••••• S••••••••• I••• BD affiliatedApr 6, 2005 to Jul 27, 2021 · Denver, Co
- E•••••••• A•••••••• L•• national BDAug 18, 2003 to Mar 7, 2005 · Longmont, Co
Moves
a registration end followed by a registration begin elsewhere
- P•••••••• S••••••••• I••• to C••••••• P••••••• I••••••••• A•••••••• L••left Jul 27, 2021, registered Jul 27, 2021 (0 days) · Other
- E•••••••• A•••••••• L•• to P•••••••• S••••••••• I•••left Mar 7, 2005, registered Apr 6, 2005 (30 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address