DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
M••• J••• R•••••
Feed of 09/15/2026
Also filed as M••• N••••••••• J••• W••••••••• J••• W••••••••• J••• N••••••••• J• R•••••
At current firm
4 y
since Jun 15, 2022
In the industry
21 y
since Jan 13, 2005 (earliest exam, job or registration)
Prior registered firms
5
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
- M••••••••• R••••••••• BD affiliated currentsince Jun 15, 2022 · Washington, Dc
- L•• F•••••••• L•• BD affiliatedNov 14, 2019 to Jun 15, 2022 · University Place, Wa
- U••• B•••••• I••••••••• I••• formerJul 17, 2018 to Nov 1, 2019 · Kent, Wa
- A••••• A•• P••••••• S••••••• BD affiliatedOct 13, 2014 to Jun 29, 2018 · Seattle, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 30, 2012 to Sep 29, 2014 · Federal Way, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 22, 2011 to Feb 21, 2012 · Tacoma, Wa
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to M••••••••• R•••••••••left Jun 15, 2022, registered Jun 15, 2022 (0 days) · Other
- U••• B•••••• I••••••••• I••• to L•• F•••••••• L••left Nov 1, 2019, registered Nov 14, 2019 (13 days) · Affiliated broker-dealer or bank to another
- A••••• A•• P••••••• S••••••• to U••• B•••••• I••••••••• I•••left Jun 29, 2018, registered Jul 17, 2018 (18 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••• A•• P••••••• S•••••••left Sep 29, 2014, registered Oct 13, 2014 (14 days) · Other
Signals
- ••• LockedJun 15, 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address