DFX Intelligence
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Registered advisor
L••••• T••••• D••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
14 y
since Mar 30, 2012
In the industry
28 y
since Jul 28, 1998 (earliest exam, job or registration)
Prior registered firms
7
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Mar 30, 2012 · Seattle, Wa
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Mar 30, 2012 · Seattle, Wa
- W••• I••••••••• I••• unclassifiedAug 1, 2008 to May 2, 2009 · Seattle, Wa
- K•• I••••••••• S••••••• L•• BD affiliatedJan 3, 2006 to Jul 25, 2008 · Seattle, Wa
- K•••••• C•••••• M•••••• I••• unclassifiedNov 17, 2005 to Dec 31, 2005 · Seattle, Wa
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Nov 22, 2005 · Seattle, Wa
- Q•••• • R•••••• I••• unclassifiedDec 4, 2002 to Oct 20, 2004 · Seattle, Wa
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedSep 25, 2000 to Dec 4, 2002 · Bellevue, Wa
Moves
a registration end followed by a registration begin elsewhere
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••left Mar 30, 2012, registered Mar 30, 2012 (0 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- K•• I••••••••• S••••••• L•• to W••• I••••••••• I•••left Jul 25, 2008, registered Aug 1, 2008 (7 days) · Other
- K•••••• C•••••• M•••••• I••• to K•• I••••••••• S••••••• L••left Dec 31, 2005, registered Jan 3, 2006 (3 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to K•••••• C•••••• M•••••• I•••left Nov 22, 2005, registered Nov 17, 2005 (-5 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- R•••••• J•••• F•••••••• S•••••••• I••• to Q•••• • R•••••• I•••left Dec 4, 2002, registered Dec 4, 2002 (0 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address