DFX Intelligence
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Registered advisor
S••• P•••••• L••••••
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as S••• P• L••••••••• L••••••
At current firm
0 y
since Oct 24, 2025
In the industry
21 y
since Sep 27, 2004 (earliest exam, job or registration)
Prior registered firms
5
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 24, 2025 · Littleton, Co
- L•• E••••••••• L•• BD affiliatedNov 14, 2024 to Oct 31, 2025 · Littleton, Co
- P•••• S••••••••• L•• no RAUMMar 24, 2010 to Nov 14, 2024 · Englewood, Co
- E•••••••• A•••••••• L•• national BDMay 28, 2009 to Feb 25, 2010 · Fort Myers, Fl
- M•• F•••••••• S•••••••• I••• formerJun 1, 2007 to May 12, 2009 · Ft. Myers, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDSep 29, 2004 to May 18, 2007 · Fort Myers, Fl
Moves
a registration end followed by a registration begin elsewhere
- L•• E••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Oct 31, 2025, registered Oct 24, 2025 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to P•••• S••••••••• L••left Feb 25, 2010, registered Mar 24, 2010 (27 days) · Other
- M•• F•••••••• S•••••••• I••• to E•••••••• A•••••••• L••left May 12, 2009, registered May 28, 2009 (16 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•• F•••••••• S•••••••• I•••left May 18, 2007, registered Jun 1, 2007 (14 days) · Other
Signals
- S••• P•••••• L•••••• left L•• E••••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-10-24)Oct 31, 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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address