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

F•••• F•••••••• L••••

E•••••• A••••••• G••••• L••BD affiliatedGreenwood Village, Co dual registrantIAPD 1698202

Feed of 09/14/2026

Also filed as F•••• F•••••••• L••••

At current firm

4 y

since Jul 22, 2022

In the industry

30 y

since Mar 29, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E•••••• A••••••• G••••• L•• BD affiliated current
since Jul 22, 2022 · Bolton, Ct
S•••••••• S••••••••• BD affiliated
May 31, 2016 to Aug 10, 2021 · Hartford, Ct
C••••••• S••••••••• I••• BD affiliated
Jan 13, 2014 to May 9, 2016 · Middletown, Ct
P••••••• S••••••••• I••• former
Jun 21, 2004 to Jan 13, 2014 · Storrs, Ct
O•••• I••••••••• I••• BD affiliated
Mar 20, 2001 to Jun 8, 2004 · Putnam, Ct

Moves

a registration end followed by a registration begin elsewhere

S•••••••• S••••••••• to E•••••• A••••••• G••••• L••
left Aug 10, 2021, registered Jul 22, 2022 (346 days) · Affiliated broker-dealer or bank to another
C••••••• S••••••••• I••• to S•••••••• S•••••••••
left May 9, 2016, registered May 31, 2016 (22 days) · Other
P••••••• S••••••••• I••• to C••••••• S••••••••• I•••
left Jan 13, 2014, registered Jan 13, 2014 (0 days) · Other
O•••• I••••••••• I••• to P••••••• S••••••••• I•••
left Jun 8, 2004, registered Jun 21, 2004 (13 days) · Other

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: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address