DFX Intelligence
RIA Intelligence
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Registered advisor
B•••• E••••• M••••
Feed of 09/14/2026
At current firm
4 y
since Sep 7, 2022
In the industry
33 y
since Nov 2, 1992 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Sep 7, 2022 · Mercer Island, Wa
- C••••• A••••••• L•• formerFeb 28, 2012 to Sep 7, 2022 · Seattle, Wa
- P•••••• W••• F•••••••• C••••••••• I•• formerJun 26, 1998 to Feb 28, 2012 · Renton, Wa
Moves
a registration end followed by a registration begin elsewhere
- C••••• A••••••• L•• to I••••••••• F•••••••• G••••• L••left Sep 7, 2022, registered Sep 7, 2022 (0 days) · Affiliated broker-dealer or bank to another
- P•••••• W••• F•••••••• C••••••••• I•• to C••••• A••••••• L••left Feb 28, 2012, registered Feb 28, 2012 (0 days) · corporate re-registration, not a move
Signals
- B•••• E••••• M•••• left C••••• A••••••• L•• for I••••••••• F•••••••• G••••• L•• (registered 2022-09-07)Sep 7, 2022 · Advisor changed firm · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address