DFX Intelligence
RIA Intelligence
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Registered advisor
T••• R••••• N•••••
Feed of 09/15/2026
At current firm
15 y
since Sep 9, 2011
In the industry
31 y
since Nov 23, 1994 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, S66, 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
- C•••••• S••••• • C••• I••• national BD currentsince Sep 9, 2011 · Lake Tapps, Wa
- T• A••••••••• I••• formerJul 21, 2021 to Oct 14, 2022 · Omaha, Ne
- U•• F•••••••• S••••••• I••• wirehouseNov 20, 2009 to Aug 18, 2011 · Seattle, Wa
- R•••••• I••••••••• asset managerJan 26, 2006 to Dec 4, 2008 · Seattle, Wa
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to no registered destinationleft Oct 14, 2022 · Departure, no registered destination
- U•• F•••••••• S••••••• I••• to C•••••• S••••• • C••• I•••left Aug 18, 2011, registered Sep 9, 2011 (22 days) · Wirehouse to affiliated broker-dealer or bank
- R•••••• I••••••••• to U•• F•••••••• S••••••• I•••left Dec 4, 2008, registered Nov 20, 2009 (351 days) · Other
Signals
- T••• R••••• N••••• no longer registered at T• A••••••••• I•••; no later IA registration on IAPDOct 14, 2022 · Advisor departure · 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
- 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