DFX Intelligence
RIA Intelligence
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Registered advisor
R••••• E•••••• F•••
Feed of 09/14/2026
At current firm
41 y
since Sep 24, 1984
In the industry
54 y
since Jan 1, 1972 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
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
- L••••••• A••••••• I•• independent RIA currentsince Sep 24, 1984 · Seattle, Wa
- K•• F•••••••• S•••••••• I•• formerMay 2, 2019 to May 2, 2019 · Seattle, Wa
- A•••••• C•••••• M••••••••• C••• state registeredSep 21, 1989 to Aug 23, 2004 · Seattle, Wa
Moves
a registration end followed by a registration begin elsewhere
- K•• F•••••••• S•••••••• I•• to no registered destinationleft May 2, 2019 · Departure, no registered destination
- A•••••• C•••••• M••••••••• C••• to K•• F•••••••• S•••••••• I••left Aug 23, 2004, registered May 2, 2019 (5365 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
- Independent wealth managerderived
- Years in industry
- 54derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address