DFX Intelligence
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Registered advisor
V••••••• L• S•••••
Feed of 09/14/2026
Also filed as V••••••• L••• R••••••••• L••• S••••••••• L• M••••••••• L• M••••••••• L• S•••••
At current firm
13 y
since Oct 23, 2012
In the industry
30 y
since Apr 30, 1996 (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
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince Oct 23, 2012 · Denver, Co
- S••••••••• A•••••• A•••••••• I••• formerJun 13, 2012 to Oct 9, 2012 · Centennial, Co
- R••••• W• B•••• • C•• I••••••••• mixed wealthOct 2, 2009 to Jun 11, 2012 · Denver, Co
- W•••• F•••• A••••••• wirehouseApr 27, 2009 to Oct 6, 2009 · Greenwood Village, Co
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to R•••••• J•••• • A••••••••• I•••left Oct 9, 2012, registered Oct 23, 2012 (14 days) · Other
- R••••• W• B•••• • C•• I••••••••• to S••••••••• A•••••• A•••••••• I•••left Jun 11, 2012, registered Jun 13, 2012 (2 days) · Other
- W•••• F•••• A••••••• to R••••• W• B•••• • C•• I•••••••••left Oct 6, 2009, registered Oct 2, 2009 (-4 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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address