DFX Intelligence
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Registered advisor
M••••••• N••••• R•••
Feed of 09/14/2026
Also filed as M•••• R••••••••• N• R•••
At current firm
5 y
since Sep 28, 2020
In the industry
33 y
since Jan 1, 1993 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Sep 28, 2020 · Tigard, Or
- W•••• F•••• A••••••• wirehouseApr 17, 2015 to Sep 29, 2020 · Tigard, Or
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 27, 2015 · Lake Oswego, Or
- M••••• S•••••• • C•• L•• unclassifiedOct 3, 2008 to Jun 1, 2009 · Lake Oswego, Or
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 23, 2000 to Oct 10, 2008 · Lake Oswego, Or
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to L•• F•••••••• L••left Sep 29, 2020, registered Sep 28, 2020 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to W•••• F•••• A•••••••left Apr 27, 2015, registered Apr 17, 2015 (-10 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Oct 10, 2008, registered Oct 3, 2008 (-7 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address