DFX Intelligence

RIA Intelligence

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Registered advisorat C••••• I••••••••• A••••••• L••Dual registrant· Golden, CoIAPD 4871385
In the industry
15.9 y
Prior registered firms
0
Signals
0
As of · the IAPD feed; also filed as C•••••• M• S••••••••• M•••• B••••••••• M•••• S••••••••• M•••• A•••• D•••••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Recruiter brief
facts first, then what DFX measured about them; never a statement of intent
Recruiting value
  • Practice attractivenesssome
    15.9 years in the industry
  • Team depthnone
    0 of the 0 people who once moved firms with this advisor are registered here now (a team seen in registrations; web team pages are not used until they pass review).
  • Entrepreneurial profilenone
    Named in the full brief.
  • Real estate activitynone
    Named in the full brief.
  • Contactabilityweak
    no contact route found
Movement evidence
  • Movement signalsome
    1 of 1 dated or circumstantial reading historically went with moving: an advisor with 5+ years in the industry added the Series 65 or 66 in the prior year. The forward-tested move model places this advisor in its Baseline band.
  • Recent change activitynotable
    Named in the full brief.
  • Independence preparationnone
    No concrete evidence of preparation for independence.
  • Historical mobilitynone
    1 prior firm, median stay 8.2 years.
Dated changes and circumstances, and what they have meant historically
  • move indicatorAn advisor with 5+ years in the industry added the Series 65 or 66 in the prior year
    At broker-dealer affiliated firms, 8.9% with this moved within a year, against 5.3% without it (1.68x, 2023 to 2025 cohorts).
Career
  • 15.9 years in the industry
  • 0.2 years at the current firm
  • 1 prior registered firm; median stay 8.2 years
Source: SEC IAPD per-person record
Licensing and credentials
  • Registered in 4 states (firm median 1); added CO in the last 180 days
  • Exams: SIE, Series 6, Series 63, Series 65
  • Registered as a broker as well as an adviser
Source: IAPD individual feed and the per-person IAPD record
Around this advisor
  • No recent movement observed around this advisor.
Regulatory record

In the full brief, with the official record linked.

+5 details in the full brief

The named explanations, the practice profile, what stands out and the conversation themes, with the official record linked.

Includes 3 days of DFX Intelligence. Then $249/month unless canceled.

Registration history
IAPD current and previous registrations
    Moves
    a registration end followed by a registration begin elsewhere
    No firm change on the tape.
    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
    Broker-dealer affiliated wealth managerderived
    Years in industry
    15.9 yderivedfrom the SEC's own industry start on the per-person IAPD record
    Not published
    disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote