DFX Intelligence
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Registered advisor
T••••••• N• T•••
Feed of 09/14/2026
Also filed as V• N• T••••••••• N• T••••••••• N••• T•••••• T•••
At current firm
3 y
since May 18, 2023
In the industry
17 y
since Dec 23, 2008 (earliest exam, job or registration)
Prior registered firms
3
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••• A••••••• G••••• L•• BD affiliated currentsince May 18, 2023 · Littleton, Co
- J••• M••••• S••••••••• L•• wirehouseJun 19, 2013 to Apr 25, 2023 · Orange, Tx
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jun 12, 2013 · Denver, Co
- W•••• F•••• I••••••••• L•• unclassifiedJan 5, 2009 to Jan 3, 2011 · Denver, Co
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to E•••••• A••••••• G••••• L••left Apr 25, 2023, registered May 18, 2023 (23 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Jun 12, 2013, registered Jun 19, 2013 (7 days) · Wirehouse to wirehouse
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedApr 25, 2023 · Advisor changed firm · fact
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address