DFX Intelligence
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Registered advisor
X••••• S••••
Feed of 09/14/2026
Also filed as X••••• E•••• O••• S••••••••• E••• S••••••••• S••••
At current firm
1 y
since Oct 17, 2024
In the industry
18 y
since Jan 1, 2008 (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
1
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Oct 17, 2024 · Greenwood Village, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 31, 2019 to Aug 27, 2024 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• A••••••• G••••• L••left Aug 27, 2024, registered Oct 17, 2024 (51 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedAug 27, 2024 · 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address