DFX Intelligence
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Registered advisor
R••••• S••••••• R••••
Feed of 09/14/2026
At current firm
0 y
since Nov 14, 2025
In the industry
19 y
since May 29, 2007 (earliest exam, job or registration)
Prior registered firms
3
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
- W•••• F•••• A••••••• wirehouse currentsince Nov 14, 2025 · Scottsdale, Az
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Nov 14, 2025 · Denver, Co
- W•••• F•••• I••••••••• L•• unclassifiedOct 12, 2007 to Jan 3, 2011 · Greenwood Village, Co
- W•••••• • R••• formerMay 30, 2007 to Oct 8, 2007 · Denver, Co
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Nov 14, 2025, registered Nov 14, 2025 (0 days) · channel change inside one enterprise, not a move
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- W•••••• • R••• to W•••• F•••• I••••••••• L••left Oct 8, 2007, registered Oct 12, 2007 (4 days) · Other
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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address