DFX Intelligence
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Registered advisor
R•••• A•••• H•••••
Feed of 09/14/2026
ContactWhat is shown hereOnly business contact points published by the advisor’s firm, on its own site or advisor directory, and matched to this registered advisor with a second fact beyond the name. Nothing is inferred or guessed; an office or team line is labelled as such and never shown as a direct line.
what the firm publishes for this advisor, each with the page it was read from
- Team page
- ••• Lockedreportedwithheld-1firm site, Sep 24, 2026
At current firm
15 y
since Sep 9, 2011
In the industry
31 y
since Oct 26, 1994 (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
Professional profileWhat is shown hereOnly business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.
title, designations and roles as the firm prints them
- Title
- Associate Vice President/InvestmentsreportedWWW.RMGSTIFEL.COMfirm site, Sep 24, 2026
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Sep 9, 2011 · Bellevue, Wa
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Sep 12, 2011 · Issaquah, Wa
- W•••• F•••• I••••••••• L•• unclassifiedFeb 2, 2007 to Jan 3, 2011 · Bellevue, Wa
- M••••• S•••••• D• I••• unclassifiedFeb 17, 1998 to Feb 5, 2007 · Bellevue, Wa
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Sep 12, 2011, registered Sep 9, 2011 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to W•••• F•••• I••••••••• L••left Feb 5, 2007, registered Feb 2, 2007 (-3 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address