DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Feed of 09/15/2026
Also filed as Tim Garretson
At current firm
8 y
since Aug 10, 2018
In the industry
19 y
since Feb 26, 2007 (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
- Dynamic independent RIA currentsince Aug 10, 2018 · Phoenix, Az
- Bfc Planning, Inc. BD affiliatedSep 2, 2016 to Sep 10, 2018 · San Diego, Ca
- Berthel Fisher & Company Financial Services, Inc. BD affiliatedJan 31, 2013 to Sep 10, 2018 · Phoenix, Az
- Next Financial Group, Inc. formerAug 28, 2012 to Jan 14, 2013 · Houston, Tx
- Berthel Fisher & Company Financial Services, Inc. BD affiliatedSep 25, 2009 to Aug 20, 2012 · Chandler, Az
- Cambridge Investment Research Advisors, Inc. BD affiliatedMar 14, 2007 to Sep 29, 2009 · Chandler, Az
Moves
a registration end followed by a registration begin elsewhere
- Bfc Planning, Inc. to Dynamicleft Sep 10, 2018, registered Aug 10, 2018 (-31 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- Berthel Fisher & Company Financial Services, Inc. to Bfc Planning, Inc.left Sep 10, 2018, registered Sep 2, 2016 (-738 days) · Other · moved with a team
- Next Financial Group, Inc. to Berthel Fisher & Company Financial Services, Inc.left Jan 14, 2013, registered Jan 31, 2013 (17 days) · Other
- Berthel Fisher & Company Financial Services, Inc. to Next Financial Group, Inc.left Aug 20, 2012, registered Aug 28, 2012 (8 days) · Other
- Cambridge Investment Research Advisors, Inc. to Berthel Fisher & Company Financial Services, Inc.left Sep 29, 2009, registered Sep 25, 2009 (-4 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address