DFX Intelligence
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Registered advisor
W•••••• H••••• L•••••••
Feed of 09/14/2026
At current firm
5 y
since Apr 2, 2021
In the industry
44 y
since Mar 10, 1982 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince Apr 2, 2021 · Vancouver, Wa
- W•••• F•••• A••••••• wirehouseMar 9, 2007 to Apr 2, 2021 · Vancouver, Wa
- U•• F•••••••• S••••••• I••• wirehouseAug 12, 2006 to Mar 21, 2007 · Lake Oswego, Or
- P•••• S•••••• • C•• institutionalOct 18, 2002 to Aug 12, 2006 · Portland, Or
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Apr 2, 2021, registered Apr 2, 2021 (0 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Mar 21, 2007, registered Mar 9, 2007 (-12 days) · Wirehouse to wirehouse
- P•••• S•••••• • C•• to U•• F•••••••• S••••••• I•••left Aug 12, 2006, registered Aug 12, 2006 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address