DFX Intelligence
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Registered advisor
A••••• M••••• I•••••
Feed of 09/14/2026
At current firm
1 y
since Aug 15, 2025
In the industry
42 y
since Jul 11, 1984 (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
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Aug 15, 2025 · Seattle, Wa
- A••••••••• F•••••••• S•••••••• L•• national BDOct 23, 2015 to Aug 18, 2025 · Seattle, Wa
- M•• I•••••••• S•••••••• L•• BD affiliatedJul 14, 1999 to Oct 28, 2015 · Seattle, Wa
- A••••• M••••• I•••••• C••• R••• I••• A•••••• unclassifiedDec 30, 1993 to Dec 31, 2003 · Seattle, Wa
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Aug 18, 2025, registered Aug 15, 2025 (-3 days) · Affiliated broker-dealer or bank to wirehouse
- M•• I•••••••• S•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Oct 28, 2015, registered Oct 23, 2015 (-5 days) · Other
- A••••• M••••• I•••••• C••• R••• I••• A•••••• to M•• I•••••••• S•••••••• L••left Dec 31, 2003, registered Jul 14, 1999 (-1631 days) · Other
Signals
- ••• LockedAug 18, 2025 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address