DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

B•••••• P••• S••• C•••••

C•••••• S••••• • C••• I•••national BDLone Tree, Codual registrantIAPD 6958223

Feed of 09/14/2026

Also filed as B•••••• P••• C•••••

At current firm

1 y

since Jan 21, 2025

In the industry

13 y

since Aug 1, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••• S••••• • C••• I••• national BD current
since Jan 21, 2025 · Lone Tree, Co
B••••••• W••••• A•••••••• L•• independent RIA
Feb 26, 2024 to Oct 1, 2024 · Scottsdale, Az
S••••• W••••• A•••••••• I••• no RAUM
Mar 4, 2021 to Feb 9, 2024 · Phoenix, Az
J••• M••••• S••••••••• L•• wirehouse
Nov 12, 2019 to Oct 8, 2020 · Las Vegas, Nv
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 24, 2018 to Oct 4, 2019 · Las Vegas, Nv

Moves

a registration end followed by a registration begin elsewhere

B••••••• W••••• A•••••••• L•• to C•••••• S••••• • C••• I•••
left Oct 1, 2024, registered Jan 21, 2025 (112 days) · RIA to affiliated broker-dealer or bank
S••••• W••••• A•••••••• I••• to B••••••• W••••• A•••••••• L••
left Feb 9, 2024, registered Feb 26, 2024 (17 days) · Other
J••• M••••• S••••••••• L•• to S••••• W••••• A•••••••• I•••
left Oct 8, 2020, registered Mar 4, 2021 (147 days) · Other
A••••••••• F•••••••• S•••••••• L•• to J••• M••••• S••••••••• L••
left Oct 4, 2019, registered Nov 12, 2019 (39 days) · Affiliated broker-dealer or bank to wirehouse

Signals

B•••••• P••• S••• C••••• left B••••••• W••••• A•••••••• L•• for C•••••• S••••• • C••• I••• (registered 2025-01-21)
Oct 1, 2024 · Advisor changed firm · fact
B•••••• P••• S••• C••••• left S••••• W••••• A•••••••• I••• for B••••••• W••••• A•••••••• L•• (registered 2024-02-26)
Feb 9, 2024 · 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: National broker-dealer RIAderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address