DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
R••• R••••
Feed of 09/15/2026
Also filed as R••• R••••
At current firm
2 y
since Apr 10, 2024
In the industry
45 y
since Feb 7, 1981 (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
S65, 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 Apr 10, 2024 · Greenwood Village, Co
- W•••• F•••• A••••••• wirehouseMay 8, 1998 to May 4, 2022 · El Paso, Tx
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to E•••••• A••••••• G••••• L••left May 4, 2022, registered Apr 10, 2024 (707 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedMay 4, 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
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address