DFX Intelligence
RIA Intelligence
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Registered advisor
B•••• S•••• B••••••••
Feed of 09/15/2026
Also filed as S•••• B••••••••
At current firm
19 y
since Nov 22, 2006
In the industry
29 y
since Jun 12, 1997 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- D••• D••••••• • C•• independent RIA currentsince Nov 22, 2006 · Lake Oswego, Or
- R•• C•••••• M••••••• L•• national BDJan 10, 2003 to Nov 30, 2006 · Lake Oswego, Or
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to D••• D••••••• • C••left Nov 30, 2006, registered Nov 22, 2006 (-8 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address