DFX Intelligence
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Registered advisor
M••• V••••••• L•••••••
Feed of 09/15/2026
Also filed as G••••• L••••••••• W••••••••• V••••••• W••••
At current firm
1 y
since May 15, 2025
In the industry
28 y
since Jul 21, 1998 (earliest exam, job or registration)
Prior registered firms
4
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Colorado Springs, Co
- C••• F•••••••• S•••••••• L••• formerJun 20, 2016 to May 15, 2025 · Peyton, Co
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 19, 2012 to Jun 13, 2016 · Colorado Springs, Co
- A•••••• A••••• F•••••••• P•••••••• L•• unclassifiedJul 24, 2008 to Jul 16, 2012 · Colorado Springs, Co
- C••• F•••••••• S•••••••• L••• formerApr 10, 2002 to Dec 1, 2006 · Colorado Springs, Co
Moves
a registration end followed by a registration begin elsewhere
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••• F•••••••• S•••••••• L•••left Jun 13, 2016, registered Jun 20, 2016 (7 days) · Other
- A•••••• A••••• F•••••••• P•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jul 16, 2012, registered Jan 19, 2012 (-179 days) · Other
- C••• F•••••••• S•••••••• L••• to A•••••• A••••• F•••••••• P•••••••• L••left Dec 1, 2006, registered Jul 24, 2008 (601 days) · Other
Signals
No dated event on this person.
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address