DFX Intelligence
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Registered advisor
A•• L••••• N•••
Certified Financial Planner
Feed of 09/15/2026
At current firm
4 y
since Sep 20, 2022
In the industry
30 y
since Dec 1, 1995 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- C••• L•• BD affiliated currentsince Sep 20, 2022 · Boulder, Co
- B•••• W••••• A••••••• unclassifiedJan 1, 1999 to Sep 9, 2022 · Boulder, Co
- L•• F•••••••• L•• BD affiliatedJan 1, 1999 to Sep 23, 2022 · Boulder, Co
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C••• L••left Sep 23, 2022, registered Sep 20, 2022 (-3 days) · RIA to affiliated broker-dealer or bank
- B•••• W••••• A••••••• to L•• F•••••••• L••left Sep 9, 2022, registered Jan 1, 1999 (-8652 days) · Other
Signals
- ••• LockedSep 23, 2022 · Advisor changed firm · fact
- ••• LockedSep 9, 2022 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
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