DFX Intelligence
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Registered advisor
S••••• C••••••••• M••••
Feed of 09/15/2026
Also filed as S••••• M••••••••• C••••••••• M••••
At current firm
0 y
since Apr 23, 2026
In the industry
19 y
since Mar 5, 2007 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Apr 23, 2026 · Greenwood Village, Co
- S•••••••• A••••••• L•• national BDDec 2, 2008 to Aug 6, 2014 · Merrimack, Nh
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to E•••••• A••••••• G••••• L••left Aug 6, 2014, registered Apr 23, 2026 (4278 days) · Affiliated broker-dealer or bank to another
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address