DFX Intelligence
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Registered advisor
S•••• A••• P•••••
Feed of 09/15/2026
Also filed as S•••• P••••••••• A• P•••••
At current firm
4 y
since Aug 16, 2022
In the industry
14 y
since Mar 1, 2012 (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 Aug 16, 2022 · Greenwood Village, Co
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMar 11, 2021 to Jun 22, 2022 · Norman, Ok
- J••• M••••• S••••••••• L•• wirehouseApr 3, 2018 to Nov 15, 2019 · Edmond, Ok
- E••••• J•••• national BDDec 14, 2017 to Feb 6, 2018 · Mustang, Ok
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to E•••••• A••••••• G••••• L••left Jun 22, 2022, registered Aug 16, 2022 (55 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 15, 2019, registered Mar 11, 2021 (482 days) · Wirehouse to affiliated broker-dealer or bank
- E••••• J•••• to J••• M••••• S••••••••• L••left Feb 6, 2018, registered Apr 3, 2018 (56 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedJun 22, 2022 · 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address