DFX Intelligence
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Registered advisor
L••••••• A••••• T•••••••
Feed of 09/14/2026
Also filed as L••••••• A••••• T••••••••• T•••••••
At current firm
4 y
since Feb 18, 2022
In the industry
25 y
since Jul 20, 2001 (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
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
- U•• F•••••••• S••••••• I••• wirehouse currentsince Feb 18, 2022 · Denver, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 11, 2010 to Feb 23, 2022 · Greenwood Village, Co
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 29, 2010 · Denver, Co
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 13, 2004 to Jun 1, 2009 · Cherry Creek Lake, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 10, 2001 to Sep 16, 2004 · Denver, Co
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Feb 23, 2022, registered Feb 18, 2022 (-5 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 29, 2010, registered Nov 11, 2010 (-18 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Sep 16, 2004, registered Sep 13, 2004 (-3 days) · Other
Signals
- ••• LockedFeb 23, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address