DFX Intelligence
RIA 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
C•••• A••••• D••••••
Feed of 09/15/2026
Also filed as C•••• A••••• D••••••
At current firm
0 y
since Nov 14, 2025
In the industry
14 y
since Apr 30, 2012 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••• F•••••••• E•••••• independent RIA currentsince Nov 14, 2025 · Fairfax, Va
- E•••••• A••••••• G••••• L•• BD affiliatedApr 3, 2023 to Nov 19, 2025 · Greenwood Village, Co
- P••••••• C•••••• A••••••• C••••••••• formerJul 20, 2017 to Apr 3, 2023 · Dallas, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 27, 2013 to Jul 28, 2017 · Fort Worth, Tx
- T• A••••••••• I••• formerAug 27, 2013 to Jul 28, 2017 · Omaha, Ne
Moves
a registration end followed by a registration begin elsewhere
- E•••••• A••••••• G••••• L•• to E•••••• F•••••••• E••••••left Nov 19, 2025, registered Nov 14, 2025 (-5 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- P••••••• C•••••• A••••••• C••••••••• to E•••••• A••••••• G••••• L••left Apr 3, 2023, registered Apr 3, 2023 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 28, 2017, registered Aug 27, 2013 (-1431 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to P••••••• C•••••• A••••••• C•••••••••left Jul 28, 2017, registered Jul 20, 2017 (-8 days) · Other
Signals
- C•••• A••••• D•••••• left E•••••• A••••••• G••••• L•• for E•••••• F•••••••• E•••••• (registered 2025-11-14)Nov 19, 2025 · 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
- Independent wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address