DFX Intelligence
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Registered advisor
T••••• L• L• G•••••
Feed of 09/14/2026
Also filed as P••••••• G••••••••• G••••••••• L• G•••••
At current firm
0 y
since Jul 10, 2026
In the industry
15 y
since May 1, 2011 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
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
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jul 10, 2026 · Denver, Co
- A••••• A•• P••••••• S••••••• BD affiliatedNov 19, 2013 to Apr 11, 2022 · Denver, Co
Moves
a registration end followed by a registration begin elsewhere
- A••••• A•• P••••••• S••••••• to U•• F•••••••• S••••••• I•••left Apr 11, 2022, registered Jul 10, 2026 (1551 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- T••••• L• L• G••••• left A••••• A•• P••••••• S••••••• for U•• F•••••••• S••••••• I••• (registered 2026-07-10)Apr 11, 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
- Wirehousederived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address