DFX Intelligence
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Registered advisor
S•••• M•••• L•••••
Feed of 09/14/2026
At current firm
3 y
since Jul 5, 2023
In the industry
22 y
since Sep 1, 2004 (earliest exam, job or registration)
Prior registered firms
2
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
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Jul 5, 2023 · Greenwood Village, Co
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Jul 31, 2019 · Boston, Ma
- S•••••••• A••••••• L•• national BDJun 22, 2007 to Jul 13, 2018 · Merrimack, Nh
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to E•••••• A••••••• G••••• L••left Jul 31, 2019, registered Jul 5, 2023 (1435 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address