DFX Intelligence
RIA Intelligence
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Registered advisor
C••••• C••••••••
Feed of 09/15/2026
At current firm
0 y
since Aug 12, 2026
In the industry
10 y
since May 1, 2016 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Aug 12, 2026 · Centennial, Co
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Apr 13, 2026 · Greenwood Village, Co
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 20, 2023 to Mar 31, 2025 · Greenwood Village, Co
- C•••••• S••••• • C••• I••• national BDMay 14, 2019 to Nov 22, 2022 · Lone Tree, Co
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 13, 2026, registered Aug 12, 2026 (121 days) · Affiliated broker-dealer or bank to wirehouse
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Nov 22, 2022, registered Jun 20, 2023 (210 days) · Affiliated broker-dealer or bank to another · moved with a team
Signals
- C••••• C•••••••• left S•••••••• A••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2026-08-12)Apr 13, 2026 · Advisor changed firm · fact
- C••••• C•••••••• left C•••••• S••••• • C••• I••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-06-20)Nov 22, 2022 · 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
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address