DFX Intelligence
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Registered advisor
E•••••• S••••
Feed of 09/14/2026
Also filed as E•••••• A• S••••••••• A•• S••••
At current firm
4 y
since Jun 23, 2022
In the industry
27 y
since Jun 7, 1999 (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
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
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Jun 23, 2022 · Greenwood Village, Co
- P•••• S••••••••• L•• no RAUMMay 30, 2018 to May 17, 2022 · Basking Ridge, Nj
- S•••••••• A••••••• L•• national BDNov 17, 2006 to Oct 5, 2017 · Morristown, Nj
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to E•••••• A••••••• G••••• L••left May 17, 2022, registered Jun 23, 2022 (37 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to P•••• S••••••••• L••left Oct 5, 2017, registered May 30, 2018 (237 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedMay 17, 2022 · Advisor changed firm · fact
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address