DFX Intelligence
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Registered advisor
C••••••••• A•••••• L•• P••••
Feed of 09/14/2026
Also filed as C••••••••• P••••••••• A• P••••••••• P••••
At current firm
1 y
since May 15, 2025
In the industry
10 y
since Mar 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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Colorado Springs, Co
- C••• F•••••••• S•••••••• L••• formerAug 9, 2021 to May 15, 2025 · Colorado Springs, Co
- C•••••• S••••• • C••• I••• national BDMay 23, 2020 to Sep 3, 2021 · Colorado Springs, Co
- U••• I••••••••• S••••••• C•••••• no RAUMMay 14, 2019 to May 23, 2020 · Colorado Springs, Co
Moves
a registration end followed by a registration begin elsewhere
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to C••• F•••••••• S•••••••• L•••left Sep 3, 2021, registered Aug 9, 2021 (-25 days) · Affiliated broker-dealer or bank to another
- U••• I••••••••• S••••••• C•••••• to C•••••• S••••• • C••• I•••left May 23, 2020, registered May 23, 2020 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address