DFX Intelligence
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Registered advisor
D•••• W•••••• S•••••
Feed of 09/14/2026
At current firm
4 y
since Feb 15, 2022
In the industry
29 y
since Dec 3, 1996 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••••• A•••••••• L•• national BD currentsince Feb 15, 2022 · Irvine, Ca
- P•••• S••••••••• L•• no RAUMOct 30, 2017 to Feb 28, 2022 · Lake Oswego, Or
- K•••••••• C••••••• L•• unclassifiedJan 1, 2003 to Jan 14, 2007 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to E•••••••• A•••••••• L••left Feb 28, 2022, registered Feb 15, 2022 (-13 days) · Affiliated broker-dealer or bank to another
- K•••••••• C••••••• L•• to P•••• S••••••••• L••left Jan 14, 2007, registered Oct 30, 2017 (3942 days) · Other
Signals
- ••• LockedFeb 28, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address