DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

M••• D••••••

E•••••• A••••••• G••••• L••BD affiliatedGreenwood Village, Co dual registrantIAPD 4781546

Feed of 09/15/2026

Also filed as M••• D••••••

At current firm

0 y

since Mar 6, 2026

In the industry

22 y

since Apr 15, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E•••••• A••••••• G••••• L•• BD affiliated current
since Mar 6, 2026 · Greenwood Village, Co
F••••• I••••••••• independent RIA
Feb 9, 2024 to Feb 18, 2025 · Plano, Tx
P•••• S••••••••• L•• no RAUM
Sep 30, 2013 to Dec 18, 2014 · Shelton, Ct
W•••• F•••• A••••••• wirehouse
Nov 28, 2012 to Aug 19, 2013 · Darien, Ct
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Nov 13, 2012 · Fairfield, Ct
C•••• I••••••••• S••••••• C•••• former
Nov 2, 2006 to Oct 1, 2012 · Fairfield, Ct
W••• I••••••••• I••• unclassified
Jan 9, 2006 to Oct 5, 2006 · Mamaroneck, Ny
N•• E•••••• S••••••••• C••••••••• former
Jun 30, 2004 to Dec 2, 2005 · Norwalk, Ct

Moves

a registration end followed by a registration begin elsewhere

F••••• I••••••••• to E•••••• A••••••• G••••• L••
left Feb 18, 2025, registered Mar 6, 2026 (381 days) · RIA to affiliated broker-dealer or bank
P•••• S••••••••• L•• to F••••• I•••••••••
left Dec 18, 2014, registered Feb 9, 2024 (3340 days) · Other
W•••• F•••• A••••••• to P•••• S••••••••• L••
left Aug 19, 2013, registered Sep 30, 2013 (42 days) · Other
J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
left Nov 13, 2012, registered Nov 28, 2012 (15 days) · Wirehouse to wirehouse
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••
left Oct 5, 2006, registered Nov 2, 2006 (28 days) · Other
N•• E•••••• S••••••••• C••••••••• to W••• I••••••••• I•••
left Dec 2, 2005, registered Jan 9, 2006 (38 days) · Other

Signals

M••• D•••••• left F••••• I••••••••• for E•••••• A••••••• G••••• L•• (registered 2026-03-06)
Feb 18, 2025 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address