DFX Intelligence
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Registered advisor
L••••• H•••• W•••
Feed of 09/14/2026
Also filed as L••••• M• W••••••••• M•••• H••••••••• H••••••••• M•••• W•••
At current firm
4 y
since Jul 1, 2022
In the industry
22 y
since Jul 8, 2004 (earliest exam, job or registration)
Prior registered firms
2
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 Jul 1, 2022 · Denver, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 2, 2021 to Jul 7, 2022 · Greenw••• Village, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 8, 2004 to Aug 4, 2014 · Greenw••• Village, Co
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Jul 7, 2022, registered Jul 1, 2022 (-6 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedJul 7, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address