DFX Intelligence
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Registered advisor
B•••• L• W••••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as B•••• W••••••••• L•• W••••••••
At current firm
7 y
since Jan 16, 2019
In the industry
28 y
since Aug 24, 1998 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S••••• W••••• A•••••••• I••• no RAUM currentsince Jan 16, 2019 · Phoenix, Az
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 28, 2018 to Dec 3, 2018 · Mesa, Az
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to Apr 4, 2018 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerMar 28, 2011 to Jan 8, 2018 · Scottsdale, Az
- M•• F•••••••• S•••••••• I••• formerOct 26, 2010 to Mar 10, 2011 · Chandler, Az
- C•••••• S••••• • C••• I••• national BDAug 25, 2006 to Mar 27, 2008 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to S••••• W••••• A•••••••• I•••left Dec 3, 2018, registered Jan 16, 2019 (44 days) · Affiliated broker-dealer or bank to another
- U••• I••••••••• S••••••• C•••••• to A••••••••• F•••••••• S•••••••• L••left Apr 4, 2018, registered Feb 28, 2018 (-35 days) · Affiliated broker-dealer or bank to another
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to U••• F•••••••• P••••••• S•••••••left Mar 10, 2011, registered Mar 28, 2011 (18 days) · Other
- C•••••• S••••• • C••• I••• to M•• F•••••••• S•••••••• I•••left Mar 27, 2008, registered Oct 26, 2010 (943 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
- No RAUM reportedderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address