DFX Intelligence
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Registered advisor
C•••• E• L••••••••
Feed of 09/14/2026
At current firm
6 y
since Jan 3, 2020
In the industry
32 y
since Jan 31, 1994 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jan 3, 2020 · Tigard, Or
- S•••••••• F••••••••• I••• formerDec 5, 2012 to Jan 8, 2020 · Portland, Or
- U••• I•••••••• I••••••••• unclassifiedJun 16, 2003 to Apr 27, 2017 · Portland, Or
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• F••••••••• I••• to L•• F•••••••• L••left Jan 8, 2020, registered Jan 3, 2020 (-5 days) · Affiliated broker-dealer or bank to another
- U••• I•••••••• I••••••••• to S•••••••• F••••••••• I•••left Apr 27, 2017, registered Dec 5, 2012 (-1604 days) · Other
Signals
No dated event on this person.
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address