DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
R••••• D•••• S••••••
Certified Financial Planner
As of · the IAPD feed; also filed as B•• S••••••
- At current firm
- 17 y
- In the industry
- 28 y
- Prior registered firms
- 2
- Signals
- 0
since Dec 5, 2008
As of · the IAPD feed; also filed as B•• S••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Recruiter brief
facts first, then what DFX measured about them; never a statement of intent
Recruiting value
- Practice attractivenesssomedesignations Certified Financial Planner; 28.9 years in the industry
- Team depthnone0 of the 0 people who once moved firms with this advisor are registered here now (a team seen in registrations; web team pages are not used until they pass review).
- Entrepreneurial profilenoneDetails are shown to subscribers.
- Real estate activitynoneDetails are shown to subscribers.
- ContactabilityweakPublished: no published contact point.
Movement evidence
- Movement signalnone0 of 0 dated or circumstantial readings historically went with moving. The forward-tested move model places this advisor in its Baseline band.
- Recent change activitynoneDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitysome2 prior firms, median stay 5.6 years. Patterns that went with staying: fifteen or more years at the current firm.
Career
- 28.9 years in the industry
- 17.8 years at the current firm
- 2 prior registered firms; median stay 5.6 years
- retention indicatorfifteen or more years at the current firmAt W•••• F••••, 3.1% with this moved within a year, against 5.8% without it (0.53x, 2023 to 2025 cohorts).
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
- Registered in 29 states (firm median 2)
- Exams: SIE, Series 63, Series 65, Series 7
- Designations: Certified Financial Planner
- Registered as a broker as well as an adviser
Source: IAPD individual feed and the per-person IAPD record
Around this advisor
- 1 of about 14 in the office left in the last 180 days
- 4 known colleagues changed firms in the last year
Regulatory record
Shown to subscribers, with the official record linked.
Outside business and networkWhat is shown hereEvery item is the advisor’s own outside-business disclosure on Form U4, read from the IAPD feed, so the link between the advisor and the company is theirs, not DFX’s guess. Each company is then looked up in public records (state registries, SEC Form D, the IRS exempt-organisation file, SBA loans, Form ADV, assessor rolls), and every fact on its page names its record. Personal items (a trusteeship for a relative, a home, a side job) and every address are left out. People connected through these companies are observed business connections, never assumed clients.
what the advisor disclosed on Form U4, and what the public record says each company is
Observed business footprint
- 1 disclosed outside organisation
- 1 also disclosed by other registered advisors
- H•• S••••• C•••••NonprofitOther role · since 2019-12-09
S••••• facility hosting indoor sports and youth after-school programs (the advisor's own disclosure)
Involved with a nonprofit.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Dec 5, 2008 · Spokane, Wa
- U•• F•••••••• S••••••• I••• wirehouseAug 12, 2006 to Dec 16, 2008 · Spokane, Wa
- P•••• S•••••• • C•• institutionalJul 19, 2000 to Aug 12, 2006 · Spokane, Wa
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Dec 16, 2008, registered Dec 5, 2008 (-11 days) · Wirehouse to wirehouse
- P•••• S•••••• • C•• to U•• F•••••••• S••••••• I•••left Aug 12, 2006, registered Aug 12, 2006 (0 days) · corporate re-registration, not a move
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, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote