DFX Intelligence
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Registered advisor
M••• B•••••••••
Feed of 09/14/2026
Also filed as M••• J••• B••••••••• J• B•••••••••
At current firm
1 y
since Mar 31, 2025
In the industry
28 y
since Sep 30, 1997 (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
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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Greenwood Village, Co
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 2, 2023 to Mar 31, 2025 · Greenwood Village, Co
- M••••• S•••••• wirehouseJul 26, 2021 to Sep 8, 2022 · Denver, Co
- E•••••• A••••••• G••••• L•• BD affiliatedApr 24, 2020 to Jul 16, 2021 · Greenwood Village, Co
- R•• C•••••• M••••••• L•• national BDJun 28, 2016 to Oct 9, 2019 · Denver, Co
Moves
a registration end followed by a registration begin elsewhere
- 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
- M••••• S•••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 8, 2022, registered Mar 2, 2023 (175 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••• A••••••• G••••• L•• to M••••• S••••••left Jul 16, 2021, registered Jul 26, 2021 (10 days) · Other
- R•• C•••••• M••••••• L•• to E•••••• A••••••• G••••• L••left Oct 9, 2019, registered Apr 24, 2020 (198 days) · Other
Signals
- ••• LockedSep 8, 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address