DFX Intelligence
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Registered advisor
N••••••• A•••••••• A•••••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as N••••••• A• K•••••••• A•••••••• A••••••••• A•••••••
At current firm
12 y
since Sep 2, 2014
In the industry
18 y
since Aug 28, 2008 (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
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 2, 2014 · Greenwood Village, Co
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJan 2, 2013 to Sep 2, 2014 · Denver, Co
- L•• F•••••••• L•• BD affiliatedNov 4, 2010 to Nov 27, 2012 · Bingham Farms, Mi
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to A••••••••• F•••••••• S•••••••• L••left Sep 2, 2014, registered Sep 2, 2014 (0 days) · Other
- L•• F•••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Nov 27, 2012, registered Jan 2, 2013 (36 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address