DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
P••• D•••• S••••••
Feed of 09/14/2026
Also filed as P••• D S••••••
At current firm
0 y
since Jan 1, 2026
In the industry
20 y
since Apr 27, 2006 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jan 1, 2026 · Boulder, Co
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedApr 16, 2019 to Oct 24, 2023 · Boulder, Co
- W•••• F•••• A••••••• wirehouseMar 21, 2019 to Apr 18, 2019 · Boulder, Co
- W•••• F•••• A••••••• wirehouseMar 1, 2012 to Mar 20, 2019 · Boulder, Co
- W•••••• • R••• formerAug 20, 2007 to Mar 12, 2012 · Las Vegas, Nv
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left Oct 24, 2023, registered Jan 1, 2026 (800 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 18, 2019, registered Apr 16, 2019 (-2 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W•••••• • R••• to W•••• F•••• A•••••••left Mar 12, 2012, registered Mar 1, 2012 (-11 days) · Other
Signals
- P••• D•••• S•••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for L•• F•••••••• L•• (registered 2026-01-01)Oct 24, 2023 · Advisor changed firm · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address