DFX Intelligence
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Registered advisor
T•••••• M• M•••••
Feed of 09/14/2026
Also filed as T•• M••••••••• M• M••••••••• M• M••••••••• M•••••• M••••••••• M•••••
At current firm
1 y
since Nov 14, 2024
In the industry
13 y
since Apr 1, 2013 (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
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
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Englewood, Co
- P•••• S••••••••• L•• no RAUMJul 11, 2018 to Nov 14, 2024 · Englewood, Co
- W•••• F•••• A••••••• wirehouseJul 10, 2014 to Jul 22, 2016 · Benbrook, Tx
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to P•••• S••••••••• L••left Jul 22, 2016, registered Jul 11, 2018 (719 days) · Wirehouse to affiliated broker-dealer or bank
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address