DFX Intelligence
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Registered advisor
T•• D•••• A•••••••
Feed of 09/14/2026
At current firm
1 y
since Jun 18, 2025
In the industry
32 y
since Jun 24, 1994 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
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••••• S•••••• wirehouse currentsince Jun 18, 2025 · Bellingham, Wa
- U•• F•••••••• S••••••• I••• wirehouseFeb 22, 2008 to Jul 1, 2025 · Bellingham, Wa
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Feb 26, 2008 · San Jose, Ca
- M••••• S•••••• D• I••• unclassifiedNov 2, 1998 to Apr 2, 2007 · San Jose, Ca
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Jul 1, 2025, registered Jun 18, 2025 (-13 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left Feb 26, 2008, registered Feb 22, 2008 (-4 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedJul 1, 2025 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address