DFX Intelligence
RIA Intelligence
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Registered advisor
C•••• T••••• B•••••
Feed of 09/18/2026
At current firm
0 y
since Oct 30, 2025
In the industry
13 y
since Dec 1, 2012 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Oct 30, 2025 · Denver, Co
- C•••••• S••••• • C••• I••• national BDAug 5, 2019 to Mar 3, 2025 · Lone Tree, Co
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to L•• F•••••••• L••left Mar 3, 2025, registered Oct 30, 2025 (241 days) · Affiliated broker-dealer or bank to another
Signals
- C•••• T••••• B••••• left C•••••• S••••• • C••• I••• for L•• F•••••••• L•• (registered 2025-10-30)Mar 3, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address