DFX Intelligence
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Registered advisor
S•••• K••• S•••••••
Feed of 09/15/2026
Also filed as S••••• K••• S•••••••
At current firm
17 y
since Jan 2, 2009
In the industry
43 y
since Mar 23, 1983 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
current registrations
Exams
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
- C•••••• A••••••• BD affiliated currentsince Jul 10, 2017 · Renton, Wa
- L•••••• I••••••••• independent RIA currentsince Jan 2, 2009 · Renton, Wa
- S••••••• F•••••••• G••••• I••• unclassifiedDec 7, 1990 to Jul 29, 2009 · Renton, Wa
Moves
a registration end followed by a registration begin elsewhere
- S••••••• F•••••••• G••••• I••• to L•••••• I•••••••••left Jul 29, 2009, registered Jan 2, 2009 (-208 days) · Other
Signals
No dated event on this person.
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address