DFX Intelligence
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Registered advisor
L••• M•••• S••••••••
Feed of 09/14/2026
Also filed as L••• M•••• L••••••••• M• S••••••••• M•••• S••••••••
At current firm
1 y
since Jun 26, 2025
In the industry
10 y
since Dec 1, 2015 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jun 26, 2025 · Bellevue, Wa
- C••••• I••••••••• A••••••• L•• BD affiliatedMay 9, 2024 to Jun 26, 2025 · Bellevue, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 1, 2023 to Apr 19, 2024 · Bellevue, Wa
- L•• F•••••••• L•• BD affiliatedJul 21, 2021 to Jun 8, 2023 · Lynnwood, Wa
- W•••••• • R••• formerSep 5, 2018 to Jul 21, 2021 · Seattle, Wa
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 26, 2025, registered Jun 26, 2025 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••• I••••••••• A••••••• L••left Apr 19, 2024, registered May 9, 2024 (20 days) · Wirehouse to affiliated broker-dealer or bank
- L•• F•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 8, 2023, registered Dec 1, 2023 (176 days) · Affiliated broker-dealer or bank to wirehouse
- W•••••• • R••• to L•• F•••••••• L••left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedJun 26, 2025 · Advisor changed firm · fact
- ••• LockedApr 19, 2024 · Advisor changed firm · fact
- ••• LockedJun 8, 2023 · Advisor changed firm · fact
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address