DFX Intelligence
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Registered advisor
A••••• F•••• F•••••••
Feed of 09/14/2026
At current firm
1 y
since Oct 21, 2024
In the industry
26 y
since Oct 13, 1999 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Oct 21, 2024 · Boulder, Co
- O•••• W•••••• I••• BD affiliatedJan 19, 2024 to Oct 23, 2024 · Boulder, Co
- W••••••• F•••••••• S•••••••• I••• formerMar 1, 2019 to Jan 19, 2024 · Boulder, Co
- Q•••••• A•••• M••••••••• I••• formerJul 24, 2012 to Mar 1, 2019 · Minneapolis, Mn
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to L•• F•••••••• L••left Oct 23, 2024, registered Oct 21, 2024 (-2 days) · Affiliated broker-dealer or bank to another
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- Q•••••• A•••• M••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Mar 1, 2019, registered Mar 1, 2019 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedOct 23, 2024 · 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address