DFX Intelligence
RIA Intelligence
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Registered advisor
L••• O••••••••
Feed of 09/14/2026
Also filed as L••• O••••••••
At current firm
0 y
since Jul 23, 2026
In the industry
18 y
since Aug 1, 2008 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
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
- M••••• S•••••• wirehouse currentsince Jul 23, 2026 · Greenwood Village, Co
- A••••••••• F•••••••• S•••••••• L•• national BDNov 3, 2025 to Jul 23, 2026 · Las Vegas, Nv
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to M••••• S••••••left Jul 23, 2026, registered Jul 23, 2026 (0 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- L••• O•••••••• left A••••••••• F•••••••• S•••••••• L•• for M••••• S•••••• (registered 2026-07-23)Jul 23, 2026 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address