DFX Intelligence
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Registered advisor
A••••• R•••• S•••••••
Feed of 09/15/2026
Also filed as A••••• R•••• K••••••••• R•••• P••••••••• S•••••••
At current firm
3 y
since May 26, 2023
In the industry
11 y
since Dec 1, 2014 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••• A••••••• G••••• L•• BD affiliated currentsince May 26, 2023 · Greenwood Village, Co
- W•••• F•••• A••••••• wirehouseApr 9, 2021 to Sep 28, 2021 · Lake Stevens, Wa
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to E•••••• A••••••• G••••• L••left Sep 28, 2021, registered May 26, 2023 (605 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address