DFX Intelligence
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Registered advisor
R••• M••••••• A••••••
Feed of 09/14/2026
Also filed as R••• M••••••• L••••••••• L••••••••• K••••••••• L• K••••••••• M• K••••••••• M••••••• K••••
At current firm
1 y
since Jul 11, 2025
In the industry
26 y
since Sep 27, 1999 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Jul 11, 2025 · Richland, Wa
- L•• F•••••••• L•• BD affiliatedFeb 21, 2023 to Jul 22, 2025 · Vancouver, Wa
- R•• C•••••• M••••••• L•• national BDMay 4, 2017 to Feb 24, 2023 · Richland, Wa
- W•••• F•••• A••••••• wirehouseApr 2, 2012 to May 9, 2017 · Yakima, Wa
- M••••• S•••••• wirehouseJun 22, 2009 to May 1, 2012 · Kennewick, Wa
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to E••••• J••••left Jul 22, 2025, registered Jul 11, 2025 (-11 days) · Affiliated broker-dealer or bank to another
- R•• C•••••• M••••••• L•• to L•• F•••••••• L••left Feb 24, 2023, registered Feb 21, 2023 (-3 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left May 9, 2017, registered May 4, 2017 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to W•••• F•••• A•••••••left May 1, 2012, registered Apr 2, 2012 (-29 days) · Wirehouse to wirehouse
Signals
- ••• LockedJul 22, 2025 · Advisor changed firm · fact
- ••• LockedFeb 24, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address