DFX Intelligence
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Registered advisor
G••• L•• M••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
7 y
since Dec 12, 2018
In the industry
41 y
since Oct 17, 1984 (earliest exam, job or registration)
Prior registered firms
2
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
- L•• F•••••••• L•• BD affiliated currentsince Dec 12, 2018 · Renton, Wa
- C••••• A•••••• N••••••• L•• formerAug 1, 2002 to Dec 13, 2018 · Renton, Wa
- L•• F•••••••• L•• BD affiliatedMar 20, 2002 to Jun 19, 2002 · Tukwila, Wa
Moves
a registration end followed by a registration begin elsewhere
- C••••• A•••••• N••••••• L•• to L•• F•••••••• L••left Dec 13, 2018, registered Dec 12, 2018 (-1 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- L•• F•••••••• L•• to C••••• A•••••• N••••••• L••left Jun 19, 2002, registered Aug 1, 2002 (43 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address