DFX Intelligence
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Registered advisor
D•••••• P•••• S•••••••
Feed of 09/14/2026
Also filed as D•••••• P••••••••• P•••• P••••••••
At current firm
7 y
since Dec 7, 2018
In the industry
19 y
since Feb 27, 2007 (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
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Dec 7, 2018 · Lone Tree, Co
- T• A••••••••• I••• formerJul 27, 2021 to Oct 14, 2022 · Lone Tree, Co
- S••••• W••••• A•••••••• I••• no RAUMMar 15, 2013 to Dec 7, 2018 · Englewood, Co
- U••• F•••••••• P••••••• S••••••• formerAug 4, 2010 to Feb 20, 2013 · Colorado Springs, Co
- U••• I••••••••• S••••••• C•••••• no RAUMMar 15, 2007 to Aug 26, 2010 · San Antonio, Tx
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to no registered destinationleft Oct 14, 2022 · Departure, no registered destination
- S••••• W••••• A•••••••• I••• to C•••••• S••••• • C••• I•••left Dec 7, 2018, registered Dec 7, 2018 (0 days) · channel change inside one enterprise, not a move
- U••• F•••••••• P••••••• S••••••• to S••••• W••••• A•••••••• I•••left Feb 20, 2013, registered Mar 15, 2013 (23 days) · Other
- U••• I••••••••• S••••••• C•••••• to U••• F•••••••• P••••••• S•••••••left Aug 26, 2010, registered Aug 4, 2010 (-22 days) · Other
Signals
- ••• LockedOct 14, 2022 · Advisor departure · 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address