DFX Intelligence
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Registered advisor
S•••• R••••• H•••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
1 y
since May 15, 2025
In the industry
18 y
since Apr 4, 2008 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Boulder, Co
- C••• F•••••••• S•••••••• L••• formerApr 15, 2013 to May 15, 2025 · Boulder, Co
- L•• F•••••••• L•• BD affiliatedMar 9, 2011 to Apr 23, 2013 · Boulder, Co
- W•••• F•••• A••••••• wirehouseJun 15, 2010 to Mar 1, 2011 · Denver, Co
- W•••• F•••• I••••••••• L•• unclassifiedApr 7, 2008 to May 18, 2010 · Broomfield, Co
Moves
a registration end followed by a registration begin elsewhere
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to C••• F•••••••• S•••••••• L•••left Apr 23, 2013, registered Apr 15, 2013 (-8 days) · Other
- W•••• F•••• A••••••• to L•• F•••••••• L••left Mar 1, 2011, registered Mar 9, 2011 (8 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left May 18, 2010, registered Jun 15, 2010 (28 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address